This British firm is a leading provider of investor services to an institutional client base including dealing, custody and settlement services. The firm has small collegiate office but has significant market share with excellent culture and work life balance.
The primary responsibility of this role is to provide regulatory support to the business by performing compliance trade surveillance and monitoring activities.
Your responsibilities may include:
- Conducting trade surveillance and related monitoring activities as part of the firm's compliance monitoring plan
- Conducting trade monitoring, market surveillance and best execution reporting
- Providing advice and assistance to front office staff in resolving compliance and regulatory issues
- Assisting in the delivery of all aspects of compliance monitoring
- Conducting thorough reviews to ensure compliance with regulations and internal standards
- Ad-hoc compliance duties as required
To be considered for this job, you will have the following experience:
- Minimum 2 years' experience in a trade surveillance compliance role at a similar wholesale, retail or professional services firm
- Relevant regulatory knowledge including some of the following: COBS, CASS, SYSC, MAR, LSE and other rules, MiFID II, HMRC ISA Rules, JMLSG
- Knowledge of Best Execution rules would be preferred but not essential
- Confident and independent self-starter willing to take ownership of issues and drive to resolution
- Ability to learn quickly and solve problems
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 Marmoy-Haynes at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.