Generalist Compliance Officer

  • £50,000-£80,000
  • 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

The Company

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 Role:

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

 

Experience Required:

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:

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.