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Compliance Officer

Posted: 30 Jul 2019 Closes: 28 Sep 2019
London Benefits and Bonus
Permanent & Part-time CS1111772_1564496003

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.

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