Our Client, a diversified City of London based diversified Securities Trading Business is looking to hire a Associate level person to the Compliance Team. The firm handle brokerage, investment banking, trading, wealth management, and principal investment.
The role is fully onsite during probation after which it will revert to hybrid on a 4+1 basis and will provide a varied environment.
The key skill or this role is that they are looking for candidates with strong Market Abuse experience. The other key element is having exposure to a trading business.
Main Purpose of role:
- Monitor trades for compliance with local regulations.
- Monitor trading books for risk limit breaches for escalation.
- Support the broader Risk and Compliance Team with ad-hoc tasks as may be required during less busy periods.
Key tasks:
Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.
- Work with CRO to maintain a compliance culture within the business.
- Evolving the framework of compliance monitoring and carrying out compliance monitoring.activities to include call reviews, file reviews and thematic reviews based on risk assessment.
- Handle staff dealing approval, monitoring and review staff dealing-related reports.
- Support disclosures of interest and other regulatory reporting and filing for the company in the UK.
- Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.
- Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance.
- Assist in other tasks assigned and ad-hoc projects including due diligence checks.
- Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.
Requirements:
- Minimum 1 years’ experience in handling compliance matters, experience with algorithmic trading is preferred.
- Familiarity with Bloomberg useful.
- All candidates must be educated to degree level.
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