This is a senior compliance role reporting into the Head of Compliance, it is a generalist compliance position with a lot of focus on regulations, policies and monitoring. The ideal candidate will be a senior operator who can work independently and perform to a high level in a fast paced trading environment.
A growing and high achieving electronic trading platform based in London.
- Conducting and co-ordinating risk-based monitoring reviews as part of the Compliance Monitoring Programme to assess regulatory requirements and internal policies;
- Assisting with regulatory inspections or enquiries and coordinating responses with input from relevant stakeholders;
- Advising the business regarding exceptional trade issues, settlement fails, customer enquiries, due diligence questionnaires or interpretation of our rulebooks or other
- Use of automated surveillance and assessment of surveillance alerts from the trading venues;
- Overseeing KYC and AML reviews periodically per all clients, vendors and associated persons;
- Managing client and dealer on-boarding and documentation and attendant enquiries;
- Assisting with regulatory reporting to comply with the conditions of authorisation
- Assisting with practical changes to accommodate new legal or regulatory requirements;
- 10 years or more experience of working in UK/EU financial services compliance preferably in regulated electronic trading platforms, market infrastructure, surveillance/monitoring, or post-trade process such as regulatory reporting;
- Extensive knowledge of MiFID II in particular, obligations for market participants, algorithmic trading, regulatory reporting, outsourcing and compliance supervision;
- Experience of using a compliance monitoring programme (including AML and financial crime), and managing exceptions, documenting reports, making reports
- Provide input into regulatory consultations, implementing changes to the compliance framework following rule changes, or changes to the business generally
competitive salary, with good benefits and potential career progression