Transaction Reporting Manager

Who we’re looking for

A Transaction Reporting Manager to ensure the accurate, complete and timely submission of regulatory transaction reports in accordance with applicable regulations, including MiFIR, EMIR and SFTR, whilst maintaining robust controls, reconciliations, governance and regulatory oversight. The role is responsible for the day-to-day operation of transaction reporting processes, investigation of exceptions and supporting regulatory change initiatives to ensure ongoing compliance.

About Cazenove Capital

At Cazenove Capital we look after private individuals, families and charities. We are the wealth management business of the FTSE-listed global investment manager Schroders. We help our clients around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.

About Schroders, our parent company

Schroders is a global investment manager which provides active asset management, wealth management and investment solutions. We aim to provide excellent investment performance to clients through active management. We serve a diverse client base that includes pension schemes, insurance companies, sovereign wealth funds, endowments, foundations, high net worth individuals, family offices, as well as end clients through partnerships with distributors, financial advisers, and online platforms.

Established in 1804, we have around 5,500 people across 36 global locations. Schroders' success can be attributed to its diversified business model, spanning different asset classes, client types and geographies.

The base

We moved into our new HQ in the City of London in 2018. We’re close to our clients, in the heart of the UK’s financial centre and we have everything we need to work flexibly.

The team

We are one of the largest UK-based wealth management firm, headquartered in London but with offices around the country. We help private clients, families, charities and some institutions meet their long term goals by offering our expertise in investment, wealth planning, lending and family office services.  We draw on the resources of the Schroders group, as well as having our own in house investment team.

We're open to flexible working, so we can all balance our personal and professional commitments.

What you’ll do

Key Responsibilities

Regulatory Reporting Operations

• Execute and oversee daily transaction reporting activities for MiFIR, EMIR and SFTR within regulatory deadlines.
• Monitor daily report submissions and validate successful transmission and acceptance by Approved Reporting Mechanisms (ARMs), Trade Repositories and other regulatory reporting platforms.
• Ensure all reportable transactions are accurately identified and submitted in accordance with regulatory requirements.
• Investigate and resolve reporting exceptions, rejects and validation failures on a timely basis.
• Maintain evidence of report submissions, exception resolution and control execution.

Controls & Reconciliations

• Perform and document daily, weekly and monthly reconciliations to validate the completeness and accuracy of regulatory reporting populations.
• Reconcile internal trading records against submitted regulatory reports and regulator acknowledgements.
• Monitor MiFIR transaction reporting reconciliations, including three-way reconciliations where required.
• Perform EMIR and SFTR pairing and matching oversight, investigating exceptions and coordinating resolution with counterparties.
• Identify control weaknesses, gaps and reporting risks and implement remediation actions.

Data Quality & Exception Management

• Conduct root cause analysis of reporting failures and recurring data quality issues.
• Work with Front Office, Operations, Technology, Compliance and external vendors to resolve reporting defects.
• Analyse transaction lifecycle events to ensure correct regulatory treatment.
• Maintain issue logs and track remediation actions through to completion.
• Escalate material reporting errors and breaches in accordance with governance procedures.

Regulatory Compliance & Governance

• Ensure compliance with FCA, ESMA and other applicable regulatory requirements.
• Maintain regulatory reporting procedures, process maps, controls and operating manuals.
• Support regulatory reviews, audits and compliance monitoring activities.
• Assist with regulatory returns, attestations and responses to regulator enquiries.
• Contribute to the development and ongoing enhancement of the Transaction Reporting Target Operating Model.

Change & Continuous Improvement

• Support implementation of regulatory change initiatives, including updates to reporting requirements, reporting logic and data models.
• Participate in testing of system enhancements and reporting rule changes.
• Recommend improvements to controls, automation and operational efficiency.
• Assist in the delivery of strategic projects affecting transaction reporting frameworks.

Management Information & Reporting

• Produce MI and KPI reporting relating to reporting completeness, accuracy, timeliness and exception volumes.
• Track and report on key risk indicators, reconciliations and outstanding breaks.
• Prepare reporting packs for governance forums, Compliance and senior management.
• Monitor reporting trends and identify emerging risks.

Stakeholder Management

• Act as a key point of contact for transaction reporting matters.
• Build effective relationships with Compliance, Risk, Technology, Operations, Trading and external service providers.
• Liaise with counterparties, trade repositories, ARMs and vendors regarding reporting issues and data quality matters.
• Support internal and external audits through provision of evidence and documentation.

We recognise potential, whoever you are

Our purpose is to deliver excellent investment performance to clients through active management. We believe diverse perspectives and an inclusive culture help us make better decisions and achieve better outcomes for our clients. That's why inclusion is a strategic priority for us, and we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic.

We will consider flexible working arrangements for all roles and provide reasonable accommodations to support applicants and employees, including those with neurodiversity, disability, or physical and mental health needs. For more information, please visit our FAQs.