Generalist Compliance Officer
- London, England, United Kingdom
- Permanent, Full time
- Maldon Partners
- 17 Jan 18 2018-01-17
Maldon Partners are recruiting a Generalist Compliance Role on a permanent basis for cutting-edge High Frequency Trading Firm based in London. The firm has grown substantially in recent years, expanding into new markets and opening offices globally
Maldon Partners are recruiting a Generalist Compliance Role on a permanent basis for cutting-edge High Frequency Trading Firm based in London. The firm has grown substantially in recent years, expanding into new markets and opening offices globally.
The purpose of the role is to work alongside the Head of Compliance in a generalist capacity, but also to help ensure the firm is ready to launch a new office in the USA soon and so requires a candidate who has some previous US-Focused compliance experience.
Day-to-day responsibilities may include:
- Assisting with the planning, design and implementation of compliance projects & controls;
- Assisting with compliance monitoring & risk reviews;
- Assisting with trade surveillance
- Assisting with 13-F, 13-H and other FCA and SEC regulatory filings;
- Assisting with the training of staff;
- Reviewing, updating & implementing any changes to compliance policies, practices, structures & procedures as directed by the Head of Compliance.
- To comply with all applicable Compliance policies, procedures, laws and regulations
In order to apply for the role you MUST have:
- A minimum of 3years Generalist Compliance experience including monitoring and Surveillance gained within a prop trading firm, broker or Hedge Fund.
- Graduate (undergraduate degree or equivalent)
- Knowledge of UK and US regulations is ESSENTIAL
- Knowledge of equities, and derivative products
- Good attention to detail and excellent analytical skills
- Strong interpersonal skills
Salary on offer is c£50,000-£80,000 as a base with some flexibility depending on experience and is based in London
The firm also offers an excellent benefits package and additional perks.