My client, a growing Financial Services start-up looking to establish themselves in the market, is looking to appoint a Compliance Officer to the business.
My client is a dynamic start-up in the Financial Services industry based in London, looking to take on a pro-active Compliance Officer to set up policies, procedures and controls for the organisation. This individual will continue building the compliance and risk function for the business.
The Compliance Officer will:
- Develop and apply compliance policies and monitor their implementation.
- Establish a control framework and carry out controls with a focus on the adherence to laws and regulations applicable for a derivatives trading venue.
- Enter into commercial agreements with third-party providers of market monitoring software to develop a best-in-class trading environment for customers.
- Investigate suspicious activity on the derivatives trading platform.
- Develop and nurture relationships with the various regulatory bodies overseeing derivatives trading venue.
- Monitor and analyse the latest regulatory developments in the field of cryptocurrency derivatives trading.
- Prepare, develop and maintain relevant risk analysis including risk based derivation of respective control measures.
- Support and monitor the business areas regarding the remediation of identified weaknesses.
- Preparation of reports to board / management and other relevant bodies.
- Inform and train employees on relevant compliance topics.
The successful applicant will have:
● University degree in economics, law or finance or similar degree in a relevant field of expertise
● 3+ years experience at an investment bank, asset manager, exchange operator or regulatory body
● Fluent in English, with great communication and presentation skills
● Experience in dealing with regulatory requirements for derivatives trading venues
● Sound knowledge of relevant regulations, especially EMIR and MiFID II
● Good understanding of financial market infrastructure activities
● Ability to communicate and negotiate
● High level of initiative, dedication and motivation
£45,000-65,000pa + benefits
Dynamic working environment