Shareholding Disclosures Manager & Regulatory Reporting Compliance SME
THE COMPANY:
Our client is global investment manager, looking for a Shareholding Disclosures Manager/ Regulatory Reporting SME to join the Business.
THE RESPONSIBILITIES:
Monitoring & reporting the firms shareholding disclosure obligations using FundApps as the sole system for the programme, to cover the following areas of disclosure:
Substantial shareholding disclosures
Mandatory takeover regime compliance
Takeover panel reporting, including for the UK, Ireland, Hong Kong and Singapore
Sensitive industry reporting, including foreign ownership limits
Maintaining up-to-date and accurate policy and procedure documentation in this area, and working with other policy and procedure writers across the business to ensure consistency in the internal and external statements that we make on this topic
Providing subject-matter expertise and a centre of excellence in this area of law, regulation and policy, including by giving advice and support on regulatory disclosures as relevant to change projects and initiatives across the Group, with a particular focus on ensuring that substantial shareholding disclosures are properly considered upfront in any proposals to enter new markets or use new instruments
Advising and supporting the Group to ensure that it stays abreast of all relevant legal, regulatory and policy changes in this area, including through representation in industry forums and interest groups and providing peer intelligence to the business
Assisting senior management by producing and collating MI, including filing metrics, for use in internal and external reporting, notably to internal governance forums, and presenting at those forums upon request
Producing information and responses for clients and prospective clients on the Group’s approach to regulatory disclosures
Supporting the Compliance Team in liaising with regulators in any dialogue, engagement or enquiry (whether routine or ad hoc) relating to regulatory disclosures, and also in more contentious matters such as proceedings or similar actions
Acting in a compliance advisory capacity for queries and guidance in relation to areas of regulatory reporting
Performing compliance monitoring reviews of regulatory reporting activities undertaken in the first line
EXPERIENCE REQUIRED:
Proven experience running a regulatory disclosure programme within the asset management sector and detailed knowledge of UK shareholding disclosures. Experience of US reporting would also be an advantage
Detailed working knowledge of using a shareholding disclosure aggregation system
Good understanding of regulatory reporting arrangements within an asset management firm
Proven experience and proficiency in Excel
Good working knowledge of public equity markets
Good working knowledge of core operational frameworks within buyside firms
Strong process management and data analytics skills; fluency and confidence in using regulatory reporting and coding systems and data platforms
Ability to communicate and advise effectively about technically complex rules and process issues
For further information please contact Spencer Evans
