If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.

00358670

PROFILE:

An experienced subject matter expert for regulatory reporting regimes since 2008. Well versed with the pre & post trade regulations of CFTC, EMIR, SFTR, MiFID I & II working in Banking, Capital Markets and Asset / Investment Management. Additionally, have worked on Banking industry changes from Brexit and Ring-fencing of banking operations to banking institutions merger migration / integrations. Business trade lifecycle experience in Front (trade execution), Middle office (matching, confirmations), Operation control, IT & Compliance areas in Asset / Investment Management, banking and Capital Markets. Cross asset class and product exposures to OTC derivatives, ETD, IRS, FX, Equity and FI

CAREER HISTORY:

July 2025 – December 2025

Banking

Interim Regulatory Test Manager (Consultant)

• Consulting as Regulatory Test Manager representing IT engineering – short term contract to backfill requirement for Trade system platform migration – Summit to Murex within the regulatory technology workstream.
• Define / write the test scope / strategy papers and approach to conduct testing cycles including packs with scripts covering regulatory reporting regimes - CFTC, MiFID, EMIR and SFTR
• As Regulatory Test Manager own / define regression with full front to back exposure covering trade life cycle, SIT testing cycles, UAT testing cycles and ad-hoc testing where required to complement QA tasks for QA Planning and execution upholding programme governance and due-diligence.
• Achievements – Managing test team (6) to conduct / complete testing cycle in short restricted timeframes focusing on high performance and collaboration to achieve these deliverables. Encountered multiple variables including managing a robust test env’s for front to back testing, vendor management, resolving technical obstacles with the reporting architecture to complete by Go-live.
• Regulatory Test Manager representative on programme business committees internal and external with Bank of Ireland vendor - Broadridge.
• Daily collaboration with business and ops teams, BA’s, Programme Change to achieve deliverables.
• Serve as escalation point for regulatory processes/ topics with exposure to testing activity.
• Conducting workshops to train testing colleagues on new processes and knowledge share with other engineering groups to achieve well-rounded adaptable team colleagues.
• Managing Jira – Kanban for defect / observations / managing backlog to allow deeper root cause analysis and troubleshoot reporting issues.
• Construct confluence team pages to centralize all test documentation and list team’s scope
• objectives, checklists, priorities and knowledge.
• Provide tutelage and guidance to test analysts on the regulatory topics.

November 2024 – March 2025

Banking

Capital Markets Regulatory Specialist

• Ongoing regulation horizon advisory with G20 regulations with Cap markets product / business units to focus on improvements, enhancements and evaluation of future strategy.
• Interpretation and guidance on regulations from CFTC, ESMA, FCA
• Guidance to internal partners and external clients on regulatory impacts.
• Serve on external regulatory aligned forums to provide / receive advice on industry trends
• Assess impact of regulation Capital Markets Directive VI article 21/c where third country institution must establish and be authorised as a branch (or subsidiary) in each EU Member State to commence or continue providing core banking services in the relevant jurisdiction
• Supporting Global Foreign Exchange front office with impacts to CRD VI regulation according to clients and products evaluation.

October 2023 – September 2024

Banking

Senior Regulatory BA (Parent Bank Merger) – G20 Regulations (Consultant)

• Consulting as Senior Business Analyst on the Parent Bank merger programme for the Regulatory Reporting technology workstream
• Conduct impact assessment on global jurisdictions for g20 reporting regimes
• Initial step to formulate an effective and appropriate strategy with global trade repositories (DTCC, UnaVista, SIX, Nasdaq, KRX) to ensure open positions have a transition plan pre and post-merger.
• Create Trade / transaction report field analysis on the impact of the merger on appropriate fields following consultations with the global trade repositories.
• Work on the plans to implement strategy per reporting regime based on continuous discussions with global trade repositories.
• Perform cross regime jurisdictional analysis of G20 trade reporting with multi- jurisdictional exposure in case of potential conflict of strategy for reporting.
• Employ requirements for the backload / replay of affected open positions per jurisdiction and reporting regimes, manage consumption of requirements with developer teams, walkthrough requirements with UAT teams and Reg Services.
• SFTR - Analysis on impact of trade, valuation, collateral files - solutions on post-merger model for reporting.
• EMIR - analysis on how refit affects this stream - considering implications of new developments post refit like UPI adoption.
• SEC - Analysis conducted with Reg Services identified new US persons eligibility requirements due to Swap Dealer status post-merger.
• FinFrag 104 - additional requirements to allow commentary on trade messages aligned to the merger specified trade population to allow segregation at SIX Trade Repository.
• LBMA - impact assessment involved changes to mapping tables for submission to Nasdaq
• APAC regs - requirements involved new DTCC account id setup infrastructure.
• Create, maintain the global g20 parent bank merger Reg runbook incorporating action task items for Front office / middle office asset class technology, global reg services, reference data teams.
• Deputy chair – Daily Stand up G20 project meetings with global teams to align project work tasks, Risk, issues, assumptions.
• Regulatory change IT representative on project business committees on ref data, central programme
• Work on remediation programme and address issues borne from Parent Merger activity with global stakeholders and provide assurance on resolutions.

November 2022 – May 2023

Financial Services

Senior Regulatory BA (Transaction Reporting) – MIFID II & EMIR (Consultant)

• Senior Regulatory SME Consultant for the client: Marex Solutions
• The firm is a growing trading brokerage house serving global institutional clients as Hedge funds, Asset Managers and Investment Banks primarily trading commodities but recent diversification to trade Equity and Fixed Income products.
• Reporting primarily to head of structured products operations with additional reporting line for new product desk launch with COO.
• Achievements – Conducted regulatory interpretive EMIR analysis with UnaVista mapping work to allow Marex to trade their first client IRS within two weeks of my commencement.
• MiFID additional work was successful to ensure confidence with reporting specific structured notes products including specifying ToTV and UToTV processes to assist strengthening reporting rules logic.
• Subsequent regulatory MiFID and EMIR analysis work conducted for new product desk launch in February. Instrumental with specification of new product class and consultation with stakeholders – COO, trading desk head, technologists, compliance and middle office.
• Achievements – product desk launch was successfully achieved with my project involvement for writing requirements critical for transaction reporting, APA trade reporting, finance and tax reports of these products recognized for go-live.
• Ongoing advisory with existing EMIR and MiFIR processes to focus on improvements, enhancements and evaluation of future strategy for trade & transaction reporting for all Marex Asset classes.
• Building Quality Assurance reviews using Kaizen QA reports outputs to drive architectural and process improvements.
• Conducting workshops to train Front office business management & Middle office colleagues on new processes.
• Provide tutelage and guidance on best practices for junior colleagues.

July 2021 – November 2022

Global Markets

Regulatory BA (Transaction Reporting) – MIFID II (Contractor) –

• Regulatory change business analyst working on extensive remediation project for transaction reporting covering MiFID II reg work streams
• Assist with reporting platform migration with analysis / requirements to facilitate development to future platform.
• Instigated the core analysis and management of issue to resolve and remediate audit cap on MiFID Transaction reporting field on TVTIC (Trading venue transaction code). Managed the involvement of technology, reference data and operations team to resolution of audit cap impacting 20 trading venues and four asset classes.
• Develop and engage critical working networks with workshops to ensure successful outcomes for multi-faceted MiFID II reporting work streams with cross-functional senior stakeholders and business partners from business support teams and IT Development teams for asset classes
• Prepare requirements (Agile) and supporting implementation of the technology enhancements for MiFID II remediation topics using Jira to articulate requirements and root cause analysis by interrogating data warehousing drafting basic SQL ‘Select’ data queries.
• Manage and instigate UAT testing initiatives, undertake the User Acceptance Testing (UAT), Prepare testing strategy documentation, test plans and script packs, daily management reporting of test status and defect management with technology and business units.
• Conducting workshops to train Operations Middle office colleagues on new processes.
• Provide tutelage and guidance on best practices for junior colleagues.

August 2020 – July 2021

Asset Management

Senior Regulatory BA (Transaction Reporting) – SFTR, EMIR, MIFID II- Brexit impact analysis (Contractor) – Reg Control SME role from Jan 21

• Regulatory change business analyst for transaction reporting - for cross asset / instrument class reg work streams covering SFTR, EMIR remediation, MiFID II oversight and Brexit impact to AXA IM transaction reporting models.
• Develop and engage critical working networks with chairing interviews and workshops to ensure successful outcomes for SFT reporting work streams with cross-functional senior stakeholders and business partners from Security lending trading heads, business support teams, IT Development teams and external vendors (Equilend, MarketAxess - TRAX) & Compliance.
• Reviewing and documenting existing SFTR reporting requirements into ‘business as usual’
• TOM,
• Prepare requirements and supporting implementation of the technology enhancements to SFTR trade reporting.
• Manage and instigate UAT testing initiatives for SFTR Phase 3 reporting go-live, Undertake the User Acceptance Testing (UAT) for the SFTR reporting go-live, Prepare testing strategy documentation, test plans and script packs, daily management reporting of test status and defect management with technology – internal and external (vendors) and business units.
• Develop process and procedure documents to be used by Investment Support’s reporting
• teams for all regulations – Regulatory Control SME role.
• Work with technology on regulatory specifications and business requirements for the enhancements to reporting – Regulatory Control SME role.
• Support the firms central project management group of the regulatory change efforts.
• Update the reporting steering committees on progress with the build out and deployment of reporting changes
• Work with internal business teams – Front office business managers, Technology, middle office to address underlying technology issues and correct reports in the firms source systems– Regulatory Control SME role.
• Work with Data Management to build out additional referential data requirements as part of QA analysis activity .
• Produce detailed field gap analysis of the transaction reporting impact of Brexit changes to regulations and divergence from UK FCA to EU - EMIR, SFTR, MIFID regulations.
• Conduct workshops, supervise, train colleagues in offsite regions in BAU processes and new operating model processes – Regulatory Control SME role.
• Manage colleagues in offsite regions with operational SFTR transaction reporting objectives and review assentation checklists and ongoing QA planning and activity – Regulatory Control SME role.

July 2019 – March 2020

Asset Management

Regulatory OMS Business Analyst– EMIR, MiFID, AIFMD, FSA / FCA 42, MAR (Contractor)

• Separation of the firms entity from a parent global investor instigated the change programme to scope, design and build standalone infrastructure and processes. My business analyst role is to focus on supporting the regulatory work streams in the programme.
• Lead business analyst for the cross asset / instrument class reg work streams covering AIFMD Strategic Solution, FSA / FCA42, MAR (Market Abuse Regulation) Trade surveillance, MiFID II RTS28 and SME oversight to EMIR.
• Develop and engage critical working networks to ensure successful outcomes for work streams with cross-functional senior stakeholders and business partners from performance and Investment Risk, COO Management teams, IT Dev teams internal and external (IHS MarkIt for Thinkfolio OMS), 3rd party technology vendors (LiquidMetrix) & Compliance.
• Deep dive analysis via workshops to scope “As-Is” and “To-Be” models, design level 2 process flows, high level diagrams and impact gap analysis for EMIR, AIFMD, MAR, FSA/FCA 42. Present findings to business and technology stakeholders and management.
• Prepare business requirements, functional requirements for AIFMD Strategic technology solution, MAR IT solution to streamline and enhance Thinkfolio OMS trade flows (MarkIT) output processes using vendors - Kneip (AIFMD), MAR (LiquidMetrix), oversee PTA test requirements with vendor and advise on EMIR regulatory model.
• Advise the performance / investment risk team with enhancing as-is process for FSA / FCA 42 Derivatives use report for UCITS funds and draft appropriate documentation and procedures to bolster their operational controls framework and governance.
• Implement IT changes to Thinkfolio trade OMS extracts post entity separation to MAR (Market Abuse Regulations) for Compliance Advisory team with introducing new vendor (LiquidMetrix).
• One to One work with IT developers scoping and analyzing data schemas for EMIR, AIFMD
• Manage and Instigate the SIT & UAT testing initiatives, Prepare testing strategy documentation, test plans and script packs, daily management reporting of test status and defect management with technology – internal and external (vendors) and business units.

May 2017 – September 2018

Banking

Business Analyst / deputy PM Ring-fencing & Brexit - Treasury Transactions Technology (Contractor)

• Define technology & business impacts and prioritization in high level requirements from Ring fencing change for the affected ESHLA Portfolio desk and dependent development teams.
• Lead work stream workshops with representatives from Front Office, technology and Product control to define Ring fencing trade capture requirements for the ESHLA business unit.
• Produce detailed gap analysis of the treasury technology and business impact of the ring- fencing BUK to ESHLA trade desk.
• Devise business & trade current and target state process flows maps using visio tools.
• Produce impacted product flows covering fixed income, derivatives instruments via Visio
• Produce ESHLA gap analysis requirements on ESHLA transactions and systems impacted.
• Represent the ESHLA business unit from treasury technology perspective at individual and cross asset workshops, working groups, forums / meetings
• Lead the technology UAT initiatives for ESHLA BUK involving specific front to back testing of ESHLA technology changes and define test plans, scripts and organise relevant UAT environments.
• Supervise and mentor junior project analysts remotely in Pune & Mumbai for the ESHLA UAT initiatives with daily calls and progress meetings.
• Define impact assessments, requirements, process maps “as is” and “to-be” operating model covering pre and post trade model, supporting new legal entity to ensure Brexit readiness of systems / processes as part of Barclays Brexit strategy.
• Using agile methodology including defining and managing user stories for Epics in (Agile Central) as part of technology strategy for brexit remediation programme.

PRIOR TO 2016:

December 2015 - December 2016

Regulatory Change FX Trade Business Analyst MiFID II & SFTR (Contractor)

September 2014 - August 2015

Regulatory Change BA/PM – EMIR & MiFID (Contractor)

November 2012 - September 2014

Regulatory Change Trade BA (Front & Middle Office) EMIR (contractor)

April 2011 - April 2012

Lead IT Hybrid BA/PM Trading Supervisory controls (Contractor)

March 2010 - April 2011

Transaction/ Trade Reporting Specialist (EMEA Regulatory Control – Contractor)

November 2008 - March 2010

Summer Intern - Regulatory Control TR SME (Permanent)

December 2007 – October 2008

Regulatory Transaction / Trade Reporting SME (Permanent)
Supervising and mentoring Operations Summer Intern.

January 2007 – December 2007

Business Analyst (MiFID Operations Project Team – Permanent)

December 2005 – December 2006

Project Roles – IB Operations

July 2006 – December 2006

Project Analyst

December 2005 – June 2006

Project Team Lead

June 2000 – December 2005

Multiple roles (Team Lead and Supervisory) in Finance / Management Reporting, including projects in Banking, Asset Management and Wealth Management

References Available Upon Request


If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.
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