A leading fin tech etrading firm with a growing global presence are recruiting for a compliance officer in London. You will be part of a regional compliance function to assist with the regulatory oversight and control of the business's regulated trading venues and post trade services.
This is a broad generalist compliance role which will provide excellent first-hand experience to learn different compliance disciplines.
Your responsibilities will include:
- Advising the business on the local regulatory requirements and ensuring compliance with the Rulebook of our trading venue and post-trade activities;
- Compliance and financial crime monitoring / use of automated surveillance and assessment of surveillance alerts from the trading venues
- Performing local compliance monitoring and contributing to compliance risk reviews as part of the compliance monitoring framework;
- Acting as a point of contact for compliance queries relating to the relevant trading venue and post-trade services;
- Managing client and dealer on-boarding and documentation and attendant enquiries;
- Assisting with regulatory reporting to comply with the conditions of authorisation under the local national competent authority and applicable corporate laws;
- Monitoring changes to local regulations that may affect the regulated activities of the MTF and post-trade services, and assisting with practical changes to accommodate new requirements;
- Assisting with further regulatory applications as and when they arise.
- Maintaining local compliance policies, procedures, records and general record-keeping (e.g. breach register, PA dealing notifications etc);
- Preparation of management information for executive committees or other relevant stakeholders;
- Manage customer enquiries regarding our local regulatory set up;
If you have a number of years of proven compliance experience within either a trading or financial services and you would like to have a confidential conversation please apply.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.