Generalist Compliance role
Electronic trading platform & Multilateral Trading Facility (MTF)
About Our Client
Our client is an electronic trading platform operating as an MTF and ARM/APA from London.
Your responsibilities will include:
- Conducting risk-based monitoring reviews as part of the Compliance Monitoring Programme, both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies;
- Helping to update the Compliance Monitoring Program following any changes to the business or market behaviour;
- Use of automated surveillance and assessment of surveillance alerts from the trading venues;
- Performing 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 under the local national competent authority and applicable corporate laws;
- Assisting with practical changes to accommodate new legal or regulatory requirements;
- Maintaining local compliance policies, procedures, records and general record-keeping (e.g. breach register, PA dealing notifications etc);
- Preparation of management information for executive committees or other relevant stakeholders such as audit;
- Working closely with the group Legal and Compliance team or other internal stakeholders where necessary to support any of the above.
The Successful Applicant
- 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; experience of handling tests from a compliance monitoring programme and framework, and managing updates,
- Trade/market surveillance experience
- Strong written and verbal skills to produce reports, following up on action points or enquiries;
- Preference for someone who has knowledge or experience of MiFID II, market abuse and regulatory reporting obligations (trade and transaction reporting);
- Should be able and willing to work independently, reliably and demonstrate initiative;
- Fixed income experience is preferable but not essential; Former employees of regulatory authorities welcome.
What's on Offer