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Regulatory Trade & Transaction Reporting - Global Investment Bank

Requirement from a global investment bank for a team of 16 staff based in 2 UK locations to address control issues with the current BAU process in Trade and Transaction Regulatory Reporting and additionally, identify and document issues requiring system/technical remediation and organise them into packages of work

  • Implemented a robust governance structure and operating model including a control framework
  • Trained the BAU team and delivered the new process
  • Established MI and metrics fit for purpose for distribution to appropriate managers and stakeholders
  • Gathered requirements for the build out of a database, reconciliation and tracking tool
  • Built and tested the new tool, ensuring it was fit for purpose, enabling a controlled implementation,
  • Categorised and recorded break types accurately and tagged them in the break tracking tool accordingly
  • Reviewed break reports, identified themes and performed analysis.
  • Cross-referenced break themes versus existing lists of known issues, escalated and handed over new issues to the Investigations Team
  • Investigated and remediated breaks, liaising with clients where appropriate

 

Meet the team

Malcome Clark

Malcolm Clark

Director and co-owner
Malcolm has over 35 years of financial services recruitment and management consulting experience. After graduating from the University of Exeter in 1989, he initially worked in the accountancy and media sectors before moving into the recruitment industry in the early 1990s. As an investment banking operations and change management specialist, he has worked with some of the world’s leading financial services institutions across the globe. Malcolm moved into management consulting in 2013.
Martin

Martin Perkins

Director and co-owner
Martin has over 35 years financial services logistics experience with 21 of those years spent in investment banking operations. The majority of his career was spent at UBS, where as a Director, he managed a number of departments including: Cash Management, Equity Derivatives Middle Office and Settlements, OTC Equity Control, BAU Process Change, Credit Derivatives Settlements and the cross-asset class ISDA OTC Documentation area. Martin moved into financial services recruitment in 2006 and management consulting in 2013.
Julian Crow

Julian Crow

Director
Julian has over 30 years of financial services recruitment and management consulting experience. After graduating from the Newcastle Business School in 1994, Julian initially worked in the FMCG sector before moving into the recruitment industry in 1996. As an investment banking, asset management, finance and change management specialist, he has worked with some of the world’s leading financial services institutions in the UK, US and Asia. Julian moved into management consulting in 2013.