An opportunity has arisen for a Compliance Advisor in the City of London to monitor and ensure that the Company’s business is conducted in an appropriate manner and in accordance with FCA Handbook, Financial Services and Markets Act 2000, Exchange Rules, Company Policy and other applicable regulations.
Requirements
- Review/audit/investigation requests from Exchanges and Regulators
- FATCA and CRS Audit and Advisory; ad hoc tax projects
- Research in relation to keeping up to date on financial regulatory developments
- Monitoring and problem solving with regards to MiFIR transaction reporting
- Monitoring and problem solving with regards to EMIR reporting
- Maintaining accurate records and data in conjunction with regulatory reporting
- Annual and ad hoc Information Requests from Exchanges, Regulators and other bodies
- Ad hoc KYC / compliance requests from counterparties
- Ability to structure and execute on given projects in a stime sensitive manner
- To conduct assigned sections of the firms Compliance Monitoring Program
- ISDA Master Agreements, TPAs and other legal documents
- CASS Compliance Monitoring and Advisory support
Benefits
- Attractive remuneration
- Subsidised health & fitness offers
- Maternity and paternity leave benefits
- Mental Health Aware training
- Flexible work time models