Compliance Officer Compliance Officer …

LMA
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
up to £80k base + good bonus + benefits
LMA
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
up to £80k base + good bonus + benefits
Posted by:
Posted by:
Associate Director
Our Client, a very successful and dynamic electronic brokerage platform to the Buy-side industry is seeking to recruit a mid to senior level Compliance individual to join this business. The candidate needs really strong monitoring skills plus some good knowledge around MiFID II.

Reporting to a senior member of the Compliance team, the position will involve:

- Provide day to day regulatory advice, assisting and resolving compliance/regulatory issues arising from execution, arranging and research business activities (Sales and Trading)

- Performing regular and ad-hoc monitoring and reviews

- Advising the business on relevant rules and requirements applicable to the business

- Key stakeholder for applicable regulations (e.g. MiFID, CFTC/NFA, SEC/FINRA, Commodities Exchange Act, Securities Exchange Act)

- Updating the business on Regulatory changes affecting the business

- Stakeholder in regulatory projects and other business initiatives (jurisdictional and product specific)

-Analysing and impact assessing new regulations and briefing the firm accordingly

- Participating in internal and external enquiries including exchange and due diligence queries/client on-boarding queries, and other stakeholders including Operations, IT, Technology, Finance, Risk and Audit

- Dealing with regulatory enquiries

- Provision or regular and ad hoc training to the business on regulatory issues

- Provide and produce management information and represent Compliance on various committees and meetings

- Understand and keep up to date with the firm’s business, products and the regulatory and commercial environment in which it operates to ensure appropriate Compliance policies, procedures and standards are implemented

Key objectives critical to success
- Strong knowledge in regulatory affairs with regard to brokerage, research and execution businesses

- Strong knowledge and understanding of FCA rules (particularly COBS, MAR, SYSC and COCON), and EU/US legislation

- Good knowledge of derivatives (Futures and Options) and the relevant regulatory requirements

- Good understanding of UK, EU and US exchanges and Markets businesses

- Ability to work well under pressure and move between tasks quickly

- Ability to follow direction and manage expectations

- Strong analytical skills

- Genuine interest in Financial Services and Compliance

- Willingness to work in a trading floor environment with constant interaction

- Drive and determination to assist with the development of the Compliance Function and will seek opportunities to add value

Skills, experience, qualifications and knowledge required:
Essential:

- Knowledge of rules and regulations relevant to brokerage business (UK, EU, US, Trading venue and cross-border)

- Knowledge of EU MiFID II and CFTC/SEC rules

- The candidate must be able to provide advice in a clear and concise manner

- Methodical with excellent attention to detail

- Good verbal and written communications skills with ability to communicate with sales/trading desks and relevant corporate support functions

- Well-developed analytical skills and ability to translate complex information into simple communications

- Strong organizational skills and an ability to work to short deadlines

- Good team player who can interact well with individuals in the Compliance functions and other in different business divisions 

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