Successful candidates will share the following attributes and have experience in the following areas:
• Manage the firm's UK compliance program incorporating FCA and other relevant EMEA regulatory provisions and ensuring compliance with applicable regulatory regimes such as MiFID II and GDPR
• Assisting with the implementation policies, procedures and monitoring requirements associated with applicable regulatory developments such as MiFID II, AIFMD, UK Senior Managers Regime, Market Abuse Regulation, 4th EU Money Laundering Directive, etc.
• Primary responsibility for the compliance oversight of the activities across EMEA, assisting with maintaining compliance manuals, policies and procedures in EMEA as required
• Provide real-time trading advice across all of the firm’s business units, and assess compliance/regulatory risk in the firm’s trading processes.
• Assisting in the implementation of appropriate governance procedures and documentation, including allocation and conflicts management advice, pre and post trade compliance and regulatory reporting for any trading activities of MiFID II instruments or under other applicable EMEA regulatory regimes
• Support the US team in the firm’s compliance testing and monitoring activities, including the review of trading and portfolio management activity, forensic testing, various trade surveillance reports and electronic communications
• Interpret and analyze the impact of change to relevant laws, regulations, and market infrastructure as it relates to compliance risk.
• Conduct employee compliance training in the UK.
• Provide strong compliance support and execution with respect to all critical ad-hoc projects.
With a team of over 200 and growing every day, Goodman Masson is one of London’s specialist Finance and Technology recruitment businesses. Voted ‘Best Recruitment Company to Work For’ in 2018, our passion for what we do is clear.
Based in London, Düsseldorf and New York, we hold annual revenues exceeding £42 million. This includes Qualified & Part-Qualified / Transactional Finance, Actuarial & Investment Management, Audit, Banking Operations, Compliance & Financial Crime, Front Office, Housing Development, Information & Cyber Security, Technology, Digital & Data, Product Control & Valuations, Projects, Change & Transformation, Risk & Regulation, Tax and Treasury.
We also have a Solutions team who provide RPO, hybrid and volume recruitment services. Alongside this, Goodman Masson have developed an Executive Search team who focus on sourcing C-suite talent to fee earning Legal partners.