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Goodman Masson

Compliance Associate - Trade Surveillance

Goodman Masson London, United Kingdom
Posted 2 months ago Hybrid Job Permanent GBP60000 - GBP80000 per annum
Goodman Masson have partnered with an Investment Expert in the hire for a Compliance Associate - Trade Surveillance on a permanent basis.

Responsibilities:

  1. Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.

  2. Work with CRO to maintain a compliance culture within the business.

  3. 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.

  4. Handle staff dealing approval, monitoring and review staff dealing-related reports

  5. Support disclosures of interest and other regulatory reporting and filing for the company.

  6. Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.

  7. Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance

  8. Assist in other tasks assigned and ad-hoc projects including due diligence checks.

  9. Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.

Skills desired:

  • Minimum 3 years' experience in handling compliance matters, experience with algorithmic trading is preferred
  • Familiarity with Bloomberg useful

If interested, please apply below. Alternatively, please email chris.norton@goodmanmasson.com

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.

job_description_image
Job ID  CATM3
ABOUT COMPANY
London, United Kingdom
HR & Recruitment

With a team of 180 and growing every day, Goodman Masson is London’s specialist Finance and Technology recruitment business. Voted ‘Recruitment Agency of the Year 2021', our passion for what we do is clear.

Based in London, Düsseldorf and New York, we hire across Finance, Technology and Specialist markets including the areas of Accountancy & Finance, Audit, Actuarial, Banking Operations, Change Management & Transformation, Compliance, Investment Management, Tax, Treasury, Housing Development, Pharmaceuticals, Technology, Digital & Data and Software Engineering.

We successfully provide both contingent recruitment and RPO solutions to a wide range of clients, through a brilliant understanding of sourcing and recruiting, the creation and evolution of employer brands and the fascination in the modern workplace.

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