Compliance Associate - London - Investment Brokerage

Job Title: Compliance Associate - London - Investment Brokerage
Contract Type: Permanent
Location: London, England
Salary: Up to £50000.00 per annum
Reference: BBBH18897_1529944678
Contact Name: Emily Seaton Potter
Contact Email:
Job Published: June 25, 2018 17:37

Job Description

A highly reputable Investment Brokerage firm has recently begun their search for a Compliance Associate.

The role is responsible for working closely with the Compliance Manager to help implement and maintain effective compliance systems and controls.

Your responsibilities will specifically include:

  • Daily compliance monitoring, including transactional monitoring
  • Providing the business with advice in regards to compliance
  • Producing and submitting monitoring evidence reports
  • Assisting the compliance team in producing Suspicious Transaction and Order Reports (STORs)
  • Assisting with ad-hoc and compliance related projects

To be considered for this job, you will have the following experience:

  • Minimum of 2 years' compliance experience, ideally from a trading or brokerage environment
  • Knowledge of trading platforms would be beneficial
  • Educated to a degree level is desirable
  • Understanding of European Market Infrastructure Regulation (EMIR) and Markets in Financial Instruments Directive (MiFID) reporting
  • Intermediate Microsoft Office skills, including Excel

If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Seaton-Potter at Twenty Recruitment.

Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Financial Crime Compliance, Regulatory Compliance and Operational Risk mandates, both permanent and temporary, across Financial Services, Technology and Energy.