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- Tasks: Monitor trades for compliance and support regulatory reporting.
- Company: Join a dynamic firm focused on maintaining a strong compliance culture.
- Benefits: Enjoy flexible working options and a supportive team environment.
- Why this job: Be part of a crucial role that shapes compliance in trading and impacts the industry.
- Qualifications: 3+ years in compliance, preferably with algorithmic trading experience.
- Other info: We value equity and accessibility in our recruitment process.
The predicted salary is between 43200 - 72000 £ per year.
Responsibilities:
- Perform pre-trade and post-trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.
- Work with CRO to maintain a compliance culture within the business.
- Evolve the framework of compliance monitoring and carry out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment.
- Handle staff dealing approval, monitoring and review staff dealing-related reports.
- Support disclosures of interest and other regulatory reporting and filing for the company.
- Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquiries.
- Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance.
- Assist in other tasks assigned and ad-hoc projects including due diligence checks.
- Review current/future regulatory changes and provide recommendations to the business on likely impact.
Skills desired:
- Minimum 3 years' experience in handling compliance matters; experience with algorithmic trading is preferred.
- Familiarity with Bloomberg is useful.
If interested, please apply below. Alternatively, please email chris.norton@goodmanmasson.com.
In our company values, we aim for equity at all stages of the recruitment process. Please let us know if we can do anything to make the process more accessible to you.
Compliance Associate - Trade Surveillance employer: Goodman Masson
Contact Detail:
Goodman Masson Recruiting Team
chris.norton@goodmanmasson.com
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate - Trade Surveillance
✨Tip Number 1
Familiarise yourself with the latest compliance regulations and guidelines relevant to trade surveillance. This will not only help you understand the role better but also demonstrate your commitment to staying updated in a fast-evolving field.
✨Tip Number 2
Network with professionals in the compliance and trading sectors. Attend industry events or webinars where you can meet people who work in similar roles. This could lead to valuable insights and potentially even referrals.
✨Tip Number 3
Gain hands-on experience with compliance monitoring tools and software, especially if you have access to Bloomberg. Being proficient in these tools can set you apart from other candidates and show that you're ready to hit the ground running.
✨Tip Number 4
Prepare to discuss specific examples of how you've handled compliance issues in the past. Think about challenges you've faced and how you resolved them, as this will showcase your problem-solving skills and experience in the field.
We think you need these skills to ace Compliance Associate - Trade Surveillance
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Associate in Trade Surveillance. Familiarise yourself with compliance monitoring, regulatory reporting, and the specific skills required, such as experience with algorithmic trading.
Tailor Your CV: Customise your CV to highlight relevant experience, particularly your three years in compliance matters. Emphasise any familiarity with Bloomberg and algorithmic trading, as these are preferred skills for the role.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your motivation for applying and how your background aligns with the job requirements. Mention your experience in compliance monitoring and your ability to liaise with regulators.
Proofread Your Application: Before submitting, carefully proofread your application materials. Check for spelling and grammatical errors, and ensure that all information is accurate and clearly presented.
How to prepare for a job interview at Goodman Masson
✨Understand Compliance Regulations
Make sure you have a solid grasp of the compliance regulations relevant to trade surveillance. Familiarise yourself with the latest regulatory changes and be prepared to discuss how they might impact the business.
✨Showcase Your Experience
Highlight your previous experience in compliance, especially if you've worked with algorithmic trading. Be ready to provide specific examples of how you've handled compliance matters in the past.
✨Demonstrate Analytical Skills
Since the role involves risk assessment and monitoring activities, be prepared to demonstrate your analytical skills. You might be asked to analyse a hypothetical scenario, so practice articulating your thought process.
✨Prepare Questions for the Interviewers
Have a few insightful questions ready to ask the interviewers. This shows your interest in the role and helps you understand the company's compliance culture better. Consider asking about their current compliance challenges or future regulatory changes.
