Compliance Director - Multilateral Trading Facility

City of London Permanent
  • compliance experience
  • mtf, trading venue, exchange

About Our Client

a self-regulated financial trading venue

Job Description

Responsibilities will include but not be limited to:

  • Provide regulatory advice and guidance to business partners
  • Manage participant engagement and provide market operations support
  • Provide guidance on and implement controls relating to regulatory rules and requirements
  • Assist the business with further developing regulatory solutions and ensure continued and ongoing regulatory compliance
  • Respond to Participant enquiries, providing guidance in relation to the operation of the MTF and its Rulebook
  • Draft packs for governance committees, including inputting of management information
  • Write and implement policies and procedures, developing existing compliance processes
  • Analyse the impact of developing regulatory changes
  • Act as the second line of defence in a dynamic, forward thinking business
  • Keep abreast of jurisdictional changes and challenges throughout Europe and beyond, working closely with legal

The Successful Applicant

  • Familiarity with the financial markets, electronic trading, and FCA and EU regulatory requirements
  • Experience with drafting policies, procedures and manuals, along with preparing reports for regulatory bodies and internal management
  • Exposure to some of the following products: bonds, repos, credit default swaps, interest rate swaps, exchange-traded funds, equity derivatives and foreign exchange derivatives.
  • The ability to advise on regulatory changes and developments
  • An analytical mind, the ability to tackle complex problems and streamline processes
  • An ability to work in a fast-paced environment, dealing with real-time issues and managing multiple tasks

What's on Offer

competitve package, benefits and great working environment.

Sumrana Saleem
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Phone number
+44 207 776 5973

Job summary

Banking & Financial Services
Compliance & Legal
Financial Services
City of London
Contract type
Consultant name
Sumrana Saleem
Consultant phone
+44 207 776 5973
Job reference