Compliance Officer

Job type:
on-site
Start:
ASAP
Duration:
12 MONTHS
From:
Huxley Banking & Financial Services
Place:
London
Date:
06/16/2016
Country:
flag_no United Kingdom
project ID:
1149479

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Compliance Officer required to be responsible for executing oversight monitoring and advisory program of our Fixed Income subsidiary. You will be responsible for providing compliance advice and monitoring the actions of this subsidiary, as well as the interactions between this subsidiary and other business units, are conducted in compliance with applicable procedures and the principles of fair and equitable treatment of clients, upholding market integrity and managing conflicts of interests.

WHAT'S ON OFFER:

RATE: £400-£500 PER DAY
LOCATION: LONDON
CONTRACT: 12 MONTHS

Overview: You will be expected to be a senior expert in Fixed Income strategies and able to provide advice and conduct monitoring on various compliance topics, including the following:

  • Trading related matters such as cross-trading, trade aggregations, and equitable allocations,
  • Market abuse matters, including insider dealing, market manipulation, and market soundings
  • Personal account dealing, client onboarding, gifts and entertainment restrictions.

Advisory: You will be responsible for providing local advisory support to the portfolio managers, research analysts, and traders in the London office.

Monitoring: You will be responsible for executing oversight monitoring, which will include (a) monitoring that the existing monitoring performed by the compliance function of the subsidiary relative to their unique procedures and obligations has been conducted and appropriately addressed, (b) monitoring that the subsidiary complies with group-wide policies and procedures and (b) monitoring that interactions between the subsidiary and other I business units is done in compliance with relevant policies and procedures

Essential Skills

  • Large international asset manager experience.
  • Substantive experience in Compliance (5+ years).
  • Strong oral and written communication skills (English required).
  • Broad technical (markets and regulatory) knowledge, including MIF, MAD II/MAR UCITS, AIFMD, EMIR.
  • Trade monitoring and surveillance experience

Strong self-management skills and discipline - ability to take initiative and get things done under pressure and tight deadlines.