Specialist - Regulatory Operations

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.

• 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

• 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

• 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

• 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

• 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

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