Specialist - Regulatory Operations

Overview

Connecting clients to markets – and talent to opportunity

 

With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.

At StoneX, we offer you the opportunity to be part of an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem. As a team member, you'll benefit from our unique blend of digital platforms, comprehensive clearing and execution services, personalized high-touch support, and deep industry expertise. Elevate your career with us and make a significant impact in the world of global finance.

 

Business Segment Overview:  With boots on the ground authenticity at the heart of everything we do, our comprehensive array of commercial products and services enable you to work directly with our clients, across hedging, risk management, execution and clearing, OTC products, commodity finance and more.

Responsibilities

Position Purpose:  We are seeking a Specialist, Regulatory Operations to join our Bengaluru team, with a focus on MiFID trade and transaction reporting. This role is intended for candidates with 3+ years’ hands-on experience in MiFID regulatory reporting who can take ownership of daily reporting controls, investigate complex exceptions, perform root cause analysis, and support remediation and change activity across global Regulatory Operations.

This role is a level above our Associate, Regulatory Operations position and is suited to individuals who already have meaningful MiFID reporting experience and can operate with greater independence, judgement and subject matter expertise.

You will work closely with Regulatory Operations, Technology, Compliance, Change teams, and external vendors to ensure reporting accuracy, manage exceptions and reconciliations, produce meaningful MI, challenge reporting logic and data quality, and support regulatory change delivery when required.

Key Responsibilities

BAU, Controls & Issue Management

• Own daily MiFID trade and transaction reporting controls, including exceptions, rejects and reconciliations
• Investigate reporting breaks and data quality issues, identifying root cause and driving remediation actions through to closure
• Review reportability, field population and reporting logic across relevant MiFID transaction reporting and trade reporting flows
• Analyse trade lifecycle data from capture through to regulatory submission, challenging completeness, accuracy and timeliness where required
• Produce and maintain Management Information (MI) on reporting volumes, data quality, exceptions, trends and control effectiveness

Analysis & Change Support

• Support impact assessments for regulatory, business or technology changes affecting MiFID reporting
• Support data discovery, requirements gathering, documentation and rule interpretation activities when engaged by Change or Technology teams
• Participate in testing activities, including UAT, test case execution, defect analysis and evidence review
• Maintain and challenge data mappings, reporting logic documentation, procedures and control frameworks

Governance & Collaboration

• Liaise with Technology, Operations, Compliance, Change teams and external vendors to support accurate and timely reporting
• Escalate issues appropriately, track remediation actions and provide clear status updates to stakeholders
• Support audit requests, regulatory reviews, assurance testing and remediation activity
• Provide guidance to Associates and help build MiFID reporting capability within the Bengaluru team

Qualifications

Required Skills & Experience

• 3+ years of hands-on experience in regulatory reporting, with strong exposure to MiFID II / MiFIR trade and transaction reporting
• Strong understanding of MiFID reporting requirements, including reportability, field logic, data quality, lifecycle events, reconciliations and exception management
• Experience investigating reporting issues from trade capture through to regulatory submission
• Understanding of trade lifecycle and financial instruments, such as equities, derivatives, FX, fixed income and commodities
• Ability to challenge data, reporting logic and controls rather than only processing exceptions
• Comfortable engaging with stakeholders across Operations, Technology, Compliance, Change and external vendors
• Strong analytical skills, attention to detail and confidence working with complex data sets

Nice to Have / Advantageous

• Exposure to other regulatory reporting regimes, such as EMIR, SFTR, MAS, CFTC or ASIC
• Experience with ARMs, APAs, UnaVista, Control Now, DTCC or similar regulatory reporting platforms
• Exposure to remediation programmes, regulatory enquiries, audit reviews or assurance testing
• SQL, Power BI, Python or other data interrogation and analysis tools
• Experience supporting UAT or change delivery initiatives

What Makes You a Good Fit

• You can work independently and apply judgement when investigating reporting issues