Compliance Advisory - Brokerage - Multiple Headcount - FTC and Perm
- London, England, United Kingdom
- Permanent, Full time
- Investigo Compliance
- 17 Aug 17
Multiple roles with a Global Brokerage firm for Compliance Advisory Officers to join their Advisory Team. Salary ranges £80,000 - £95,000 per annum
Investigo Compliance are working alongside a leading Brokerage to recruit for multiple Compliance Advisory Officers to join their team on both permanent and fixed term contract basis.
Key Duties to include;
- Assist with the implementation of MiFiD II and various regulatory change events.
- Assist in the identification of upstream regulatory risk, and working to respond to or mitigate any such identified risks;
- Deliver regulatory advice and compliance-related support to the business.
- Build working relationships with key internal stakeholders including Senior Management, Desk Heads, and support function Heads
- Assist in the delivery of the Compliance training programme for the various business units and conduct ad hoc training as and when required.
- Review the output from the Monitoring Programme and ensure that any remedial action necessary is carried out.
- Partnering with Front Office traders/brokers to provide Compliance advice
- Review and assess any New Business Initiatives
- Carry out face to face training of front office staff and, as required, senior management.
Ideal candidates will;
- Have previous experience working within the Brokerage/Financial Markets space
- Have a strong understanding of MIFID II and other EU Directives
- Be a strong communicator with previous experience dealing with the Front Office.
For more information please apply as soon as possible or email me at Amy.firstname.lastname@example.org or call me on 0203 862 2740