Description:
Our client is an innovative global brokerage firm, seeking a Compliance Officer to join their expanding business.
THE RESPONSIBILITIES:
- Conducting risk-based monitoring reviews as part of the Compliance Monitoring Programme (‘CMP’), both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies;
- Helping to update the CMP following any changes to the business
- Use of automated surveillance and assessment of surveillance alerts from the trading venues;
- Performing AML/KYC reviews periodically per all clients, vendors and associated persons;
- Managing client and dealer on-boarding and documentation and attendant enquiries;
- Assisting with regulatory reporting
- Assisting with practical changes to accommodate new legal or regulatory requirements;
- Maintaining local compliance policies, procedures, records and general record-keeping
- Preparation of management information for executive committees or other relevant stakeholders
- Working closely with the team or other internal stakeholders where necessary to support any of the above.
EXPERIENCE REQUIRED:
- Experience of working in UK/EU financial services compliance
- Knowledge of electronic trading platforms, surveillance/monitoring, regulatory compliance and/or trade reporting would be highly desirable
- Experience of monitoring and testing and CMP
- Strong written and verbal skills to produce reports, following up on action points or enquiries;
- Preference for someone who has knowledge or experience of MiFID II, market abuse and regulatory reporting obligations (trade and transaction reporting)