Compliance Assurance Specialist - Trade Transaction Reporting
Cardiff
Banking & Financial Services
Annual
Permanent
Job Title: Compliance Assurance Trade & Transaction Reporting SpecialistLocation: London- Hybrid ( Office days: Monday, Tuesday and Friday)Contract: 6 MonthsPAYE onlyOverall Purpose of the RoleWe are seeking an experienced Compliance Assurance Trade & Transaction Reporting Specialist to join Barclays on a contract basis, supporting the oversight and review of controls relating to trade and transaction reporting. This is a hands-on compliance-focused role requiring audit-level attention to detail and deep familiarity with trade lifecycle and regulatory reporting obligations under EMIR, MiFIR, SFTR and other global regimes. The successful candidate will lead Compliance reviews, perform issue validation, and support ongoing testing of transaction data - with a focus on equity cash products.This role suits professionals with a background in audit, compliance testing, or assurance reviews-especially those with Big 4 trade and transaction reporting experience-who have exceptional attention to details, are confident communicators and able to engage senior stakeholders in challenging conversations.Key Accountabilities:Control Review & Compliance Testing:
- Lead and execute structured compliance reviews of trade and transaction reporting controls, including identifying and validating control gaps, with an average review duration of 6-12 weeks per topic.
- Test transaction reporting data for completeness, accuracy, and timeliness in accordance with EMIR, MiFIR, SFTR regulations, across assets classes and products.
- Assess the full transaction cycle from initiation to reporting, understanding booking models, exceptions, and breaks across front-to-back systems.
- Confidently engage with senior internal stakeholders-including risk, compliance, and operations leads-managing conflict and influencing resolution pathways in control assessments.
- Work with large, complex datasets in Excel to validate trade data and reconcile reporting. Use Python for data testing and automation where applicable (desirable).
- Report directly into Vice President, collaborate with Compliance Business Oversight Compliance, Operations, Technology, and Front Office to understand reporting flows and identify potential gaps .
- Strong experience in trade and transaction reporting controls within financial services, compliance, or audit.
- Strong knowledge of European trade and transaction reporting regulations (MiFIR, EMIR, SFTR).
- Familiarity with trade lifecycle, reporting systems, and control frameworks.
- Demonstrated experience in control testing, compliance reviews, or audit assurance related to transaction reporting.
- Excellent written and verbal communication skills, including report writing and issue escalation to senior stakeholders.
- Proficient in Excel, including working with large data sets, formulas, and data validation techniques.
- Ability to work independently on one, or more, compliance review at a time over a 6-12 week period.
- Experience managing potential issue towards resolution and driving alignment with senior stakeholders across complex organisations.
- Exposure to testing or automating data validation processes
- Understanding of control frameworks and operational risk principles in investment banking.
- Understanding of data lineage, reconciliation processes, and exception management in reporting.
- Experience using data analytics tools ( , SQL, Python, Power BI) to enhance assurance work.
- Professional certifications ( , ICA, ACAMS, CFA, FRM) are advantageous.
- Experience in non-regulated compliance testing roles with a strong control assurance focus.
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