THE COMPANY:
Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.
THE RESPONSIBILITIES:
- Review/audit/investigation requests from Exchanges and Regulators
- FATCA and CRS Audit and Advisory; ad hoc tax projects
- Research in relation to keeping up to date on financial regulatory developments
- Monitoring and problem solving with regards to MiFIR transaction reporting
- Monitoring and problem solving with regards to EMIR reporting
- Maintaining accurate records and data in conjunction with regulatory reporting
- Reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting (IDs and Forms: 40, 102, 304)
- Annual and ad hoc Information Requests from Exchanges and other bodies
- Ad hoc KYC / compliance requests from counterparties
- Compliance KYC Audits and other Compliance related audits
- To conduct assigned sections of the firms Compliance Monitoring Program
- ISDA Master Agreements, TPAs and other legal documents
- CASS Compliance Monitoring and Advisory support
EXPERIENCE REQUIRED:
- Must be able to work 4 days per week in the office
- Generalist compliance and regulatory experience (NOT KYC)
- Minimum 3 years industry products (securities, futures, options etc.)
- Understanding and previous involvement with EMIR and MiFIR Transaction Reporting
- Microsoft Office – Intermediate
- Knowledge and experience of UnaVista and Transaction/Regulatory reporting (desirable)
For further information please contact Hannah Tabatabai
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Compliance Advisor in London employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
