Description
A summary of the role requirements is as follows:
You will be part of the UK/EU Legal and Compliance function to assist with the regulatory oversight and control of regulated trading venues (MTFs) and post-trade services (DRSP).
Your responsibilities will include:
*Implementation of compliance monitoring programme; assessment of findings of reviews, preparation of reports; management of resulting action plans and monitoring of mitigation actions.
*Maintenance of key compliance registers (staff records, conflicts, gifts, breaches logs etc);
*Preparation of periodic compliance management information or other reports;
*Preparation and implementation of compliance policies, procedures and related documentation;
*Preparation and submission of regulatory registrations, notifications or reports as required for relevant regulators;
*Respond to external and internal enquiries, RFPs and questionnaires or enquiries as appropriate;
*Taking part in the wider compliance function by assisting with training, providing written reports and other ad-hoc projects;
*Coordinate compliance meetings such as training or other sessions and prepare materials as requested;
*Support automated surveillance monitoring function and/or resultant findings as required.
Knowledge/Experience:
*At least 2 years' Compliance experience in a trading and/or post trade environment in Europe, in financial services;
*Knowledge of trading systems advantageous (eg Fidessa, Bloomberg, Reuters etc.);
*Excellent PC skills including Word, Excel and PowerPoint;
*CISI exam (or similar) advantageous;
*Excellent communication skills including the ability to articulate information in a clear and precise manner in order to influence thinking and decision making at all levels of the organisation;
*Attention to detail and ability to spot anomalies;
*Good organisational and time management;
*Ability to work autonomously or as part of a team;
*Other languages advantageous (English needs to be fluent, however).
Please note you will receive an automated response advising you that we have received your CV.
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We are committed to ensuring that all job applicants are treated equally, without discrimination because of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.