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For Companies At a Glance
- Tasks: Support market-making activities and ensure compliance with trading regulations.
- Company: Dynamic trading firm focused on electronic markets.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Why this job: Join a fast-paced team and make a real impact in financial compliance.
- Qualifications: 5+ years in electronic trading compliance and strong regulatory knowledge.
- Other info: Opportunity to grow in a vibrant financial services sector.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
I am looking for a compliance officer to supports 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
Compliance Officer - electronic trading (12-month FTC) employer: Investigo
Contact Detail:
Investigo Recruiting Team
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. Remember, it’s all about who you know!
✨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 a Compliance Officer. Show them you’re the perfect fit!
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you and match your skills. Tailor your approach to each company to stand out!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. It shows your enthusiasm for the role and reinforces your interest in joining their team.
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 in the job description, so don’t hold back on showcasing your relevant achievements!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for the Compliance Officer role. We love seeing genuine enthusiasm and a clear understanding of UK/EU trading regulations, so let your personality come through.
Showcase Your Regulatory Knowledge: Since this role involves a lot of regulatory work, make sure to mention your familiarity with key regulations like MiFID, MAR, and EMIR. We’re looking for candidates who can hit the ground running, so any specific examples will definitely catch our eye!
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 gives you a chance to explore more about what we do at StudySmarter!
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 talk about your past experiences in electronic trading compliance. Think of specific examples where you provided real-time compliance advice or handled regulatory requests. This will help demonstrate your hands-on knowledge and problem-solving skills.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance issues. Practise how you would handle trade surveillance or escalate potential issues. This will highlight your critical thinking and decision-making abilities in a compliance context.
✨Engage with Compliance Culture
Discuss how you can contribute to compliance training and awareness initiatives. Show enthusiasm for fostering a strong compliance culture within the organisation. This will indicate that you’re not just looking to fill a role but are committed to enhancing the overall compliance environment.
