This is a broad role covering all aspects of compliance with regulatory requirements under the FCA as well as a number of overseas regulators. The ideal candidate will have significant regulatory experience with regard to financial markets and products, be familiar with FCA and European rules and Market Abuse requirements, and be able to undertake market supervision of participant activity, including trade surveillance.
My client is a leading trading platform.
This is a very broad compliance role, some of the responsibilities are as follows:
- Provide regulatory advice and guidance to business partners
- Undertake trade surveillance, participant engagement and market operations support
- Provide guidance on and implement controls relating to all FCA rules applicable to all relevant partners including the business
- Assist the business with further developing regulatory solutions and ensure continued and ongoing regulatory compliance.
- Strong understanding of one or more of the following asset classes: IRS, CDS, FX derivatives and Equity derivatives.
- Familiarity with the financial markets, electronic trading, trading platforms, FCA and EU rules
- Experience responding to regulatory and FCA changes and enquiries
- A track record of working with and advising senior business people on compliance matters
- Experience in drafting policies, procedures and manuals, along with preparing reports for regulatory bodies and internal management
- The ability to advise on regulatory changes and developments
- A great teammate with an analytical mind who is able to solve complex problems and streamline processes
be part of a great business with a dynamic culture and career progression on offer