Senior Compliance Manager, Derivatives Trade Reporting

🔥 3 minutes ago

🇪🇺 Europe – Remote

⏰ Full Time

🟠 Senior

🚔 Compliance

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OKX

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2017

₿ Crypto

🌐 Web 3

💳 Fintech

Crypto • Web 3 • Fintech

OKX is a cryptocurrency exchange offering a comprehensive suite of trading solutions for both retail and institutional investors. The platform facilitates buying, selling, and trading of various cryptocurrencies with low fees, powerful tools like trading bots, and deep liquidity markets. OKX provides services such as quick crypto conversion, a liquid marketplace, and managed trading. It serves institutional traders with an advanced API connectivity, historical market data, and a robust OTC liquidity network. The company aims to ease the crypto trading and buying process, even integrating with Web3 technologies and offering educational resources for new users.

📋 Description

• Interpret and apply derivatives and transaction reporting rules across global regimes, including CFTC Part 45, MiFIR Article 26, EMIR Article 9, UK MiFIR, UK EMIR, and the ASIC Derivative Transaction Rules (Reporting) 2024 • Own and maintain entity, product, and transaction-level reporting scoping and eligibility • Oversee and support the daily reporting process, monitor submissions against deadlines, investigate rejections and breaks, and track issues to resolution • Reconcile reported activity to trading records and repository data; coordinate corrections and back-reporting • Define and maintain reporting data specifications with Engineering and Data, including field-level mapping, LEIs, UTIs, UPIs, ISINs, and validation rules • Build and run the control framework for completeness, accuracy, timeliness, exception management, management information, and audit-ready records • Drive reporting readiness and remediation for new products, entities, and regulatory changes • Escalate material reporting issues, assess errors, and support regulator notifications where required • Manage relationships with swap data repositories, trade repositories, approved reporting mechanisms, and reporting vendors • Build a small team and coordinate with and train local compliance leads • Support independent testing by Compliance Monitoring, Risk, and Internal Audit, and support regulator inquiries with complete, reproducible records • Work with Trading, Product, Engineering, Data, Legal, local Compliance teams, and reporting providers; report to the Head of Markets and Product Compliance

🎯 Requirements

• A degree in finance, economics, law, data science, or computer science, or an equivalent professional qualification • 7+ years in trade reporting, transaction reporting, or regulatory reporting at an exchange, broker, bank, trading firm, fintech, or digital asset platform • Deep working knowledge of at least two of the following regimes: CFTC swap data reporting, MiFIR transaction reporting, EMIR, UK MiFIR, UK EMIR, and ASIC derivative transaction reporting • A sound understanding of derivatives trade lifecycles and the data needed to report executions, changes, terminations and, where applicable, valuations and collateral • The ability to interrogate large datasets, investigate reporting breaks and explain clear requirements to engineers and other business partners • Experience building or improving a reporting framework, including procedures, reconciliations, exception management and evidence that can withstand regulatory or audit scrutiny; this may include remediating historical reporting errors, including back-reporting • The judgment to make proportionate risk decisions, escalate material issues and lead delivery across teams without relying on a single team to own every part of the reporting process • Experience with digital asset derivatives, such as perpetual futures and options, and how they map to reporting product classifications • Hands-on experience with both a US and a European regime is strongly preferred • SQL or comparable data analysis skills are highly desirable • Experience leading a regulatory reporting change program, such as EMIR Refit, UK EMIR Refit, the CFTC reporting rewrite, or the ASIC 2024 rules • Familiarity with ISO 20022 XML reporting formats • Python or similar scripting for data validation, and experience with data warehouse tools such as Databricks

🏖️ Benefits

• Competitive total compensation package • L&D programs and Education subsidy for employees' growth and development • Various team building programs and company events

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