Compliance

• Execute daily operational processes related to regulatory trade reporting, in line with agreed workflows, controls and timelines
• Perform advanced pre‑ and post‑reporting controls to ensure accurate, complete and timely regulatory reporting
• Investigate reporting breaks and data quality issues, including complex and non‑standard cases, applying independent judgement to identify root causes and define solutions
• Drive corrective actions end‑to‑end, collaborating closely with Product Operations, Business stakeholders and Tech teams
• Proactively identify, assess and escalate operational risks, incidents and deviations, ensuring proper follow‑up and prevention of reoccurrence
• Actively contribute to process development, automation and efficiency improvements, turning regulatory and data insights into concrete enhancements
• Participate in projects, testing activities and regulatory or system changes as a subject‑matter contributor, bringing deep process and regulatory knowledge into discussions and improvements
• Strengthen and maintain deep end‑to‑end understanding of trade flows, products, regulatory requirements and supporting systems

Regulatory Reporting Operations Specialist, Regulatīvās ziņošanas speciālists/-e

• Monitoring activities and controls related to financial markets’ activities
• Personal Account Dealing monitoring
• Compliance checks of research products
• Conflict of interest checks
• Stakeholder support
• Taking part in ongoing initiatives and projects

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Regulatory Reporting Operations Specialist, Regulatīvās ziņošanas speciālists/-e

Compliance Monitoring Officer, Darbības Atbilstības Speciālists/-e