At a Glance
- Tasks: Support market-making activities and provide real-time compliance advice to trading desks.
- Company: Join a leading firm in the financial services industry with a focus on compliance.
- Benefits: Competitive salary, professional development, and exposure to diverse asset classes.
- Other info: Mid-senior level role with excellent career growth opportunities.
- Why this job: Make a real impact in compliance while working in a dynamic trading environment.
- Qualifications: 5+ years in electronic trading compliance and strong knowledge of UK/EU regulations.
The predicted salary is between 48000 - 72000 £ per year.
Compliance Officer - electronic trading (12-month FTC)
I am looking for a compliance officer to support market-making activities across multiple asset classes, with a focus on surveillance, advisory, and control room functions. Ideal candidates will have at least 5 years’ experience in electronic trading compliance and strong knowledge of UK/EU trading venue rules and regulations.
Responsibilities
- Provide real-time compliance and regulatory advice to trading desks and support functions
- Oversee daily trading activities and conduct trade and communications surveillance, escalating potential issues as required
- Interpret and implement regulatory developments, assisting with policy updates and compliance monitoring reviews
- Support regulatory requests, audits, and the preparation of filings to regulators (e.g., AFM, FCA, AMF)
- Handle transaction/position reporting (MiFIR, EMIR, CPR) and assist with KYC requests
- Contribute to compliance training and awareness initiatives across the business
Requirements
- Strong experience in financial markets compliance, ideally within trading firms or investment banks
- Knowledge of UK/EU trading venue rules
- Strong understanding of UK/EU financial regulations, including MiFID, MAR, MiFIR, EMIR, CPR, etc.
- Familiarity with the FCA SMCR
This is a Mid-Senior level position, with a Full-time employment type, in the Consulting job function, within the Capital Markets, Financial Services, and Investment Banking industries.
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Compliance Officer - electronic trading (12-month FTC) employer: Investigo
Investigo is an exceptional employer that fosters a culture of innovation and collaboration, making it an ideal place for professionals looking to make a significant impact in the financial sector. Located in Coventry, employees benefit from a competitive salary package, including performance bonuses and cash allowances, alongside ample opportunities for professional growth and development in a forward-thinking environment. Join us to be part of a team that values your expertise and encourages you to drive meaningful change through automation and technology.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer - electronic trading (12-month FTC)
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and trading sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK/EU trading venue rules and regulations. Be ready to discuss how your experience aligns with the responsibilities of the Compliance Officer role.
✨Tip Number 3
Showcase your expertise in real-time compliance and regulatory advice during interviews. Use specific examples from your past roles to demonstrate how you've successfully navigated challenges in electronic trading compliance.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Compliance Officer - electronic trading (12-month FTC)
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights your experience in electronic trading compliance. We want to see how your skills align with the responsibilities listed, so don’t be shy about showcasing your knowledge of UK/EU trading venue rules!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for this role. We love seeing candidates who can connect their past experiences to the specific requirements of the Compliance Officer position.
Showcase Relevant Experience:When detailing your work history, focus on your compliance and regulatory advice experience. We’re particularly interested in your ability to oversee trading activities and handle regulatory requests, so make sure to highlight those achievements!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining the StudySmarter team!
How to prepare for a job interview at Investigo
✨Know Your Regulations
Make sure you brush up on UK/EU trading venue rules and regulations before the interview. Being able to discuss specific regulations like MiFID, MAR, and EMIR will show that you’re not just familiar with compliance but that you’re genuinely engaged with the field.
✨Showcase Your Experience
Prepare to share concrete examples from your past roles where you provided real-time compliance advice or conducted trade surveillance. Use the STAR method (Situation, Task, Action, Result) to structure your responses and highlight your impact.
✨Understand the Company’s Compliance Culture
Research the company’s approach to compliance and their recent regulatory challenges. This will help you tailor your answers and demonstrate that you’re a good fit for their specific compliance environment.
✨Prepare Questions
Have a few insightful questions ready to ask at the end of the interview. Inquire about their compliance training initiatives or how they handle regulatory changes. This shows your interest in contributing to their compliance culture and your proactive mindset.
