Compliance Advisory Officer
Start Date: ASAP
We are currently recruiting for a Compliance Advisory Officer on behalf of our financial services client. This role is ideal for someone with good working knowledge of the requirements of the UK and EU financial services regime and key regulations (MiFID II and SMCR) as well as experience within OTF and MTF trading venues compliance and operations functions.
The role offers a competitive salary and a comprehensive benefits package, and opportunities for professional development and growth with one of the world's leading liquidity and data solutions provider.
The role requires excellent stakeholder management skills along with expertise in Wholesale Financial Markets and/or Inter-Dealer Broking. A good understanding of risk-based approaches and assessments as well as control design and implementation is essential. If you are a motivated individual who is passionate about compliance and interested in joining a dynamic team, please submit your resume and cover letter for consideration.
Main responsibilities of the role include:
- Developing and maintaining relationships with Business Managers, Desk Heads and Brokers across the Group.
- Interaction with Exchanges and 3rd Party Venues.
- Providing timely and accurate regulatory advice to the business.
- Performing Regulatory Analysis; Identifying the impact of upcoming Regulation on the relevant business areas.
- Drafting policies and internal procedure documentation e.g. Conflicts of Interest Policy and Compliance Manual.
- Identifying, Writing and Implementing compliance controls.
- Reviewing output from the Compliance Monitoring Programme and implementing remedial actions.
- Reviewing legal entity permissions and supporting applications for new/amended permissions as required.
- Operating and Executing specific controls owned by the Compliance Function.
- Identifying risks and risk mitigation solutions.
- Perform investigations into the activities within the Global Broking business to ascertain compliance with the relevant regulations.
- Writing internal compliance communications and writing and delivering compliance training material
Ideal candidate will need:
- Experience within Compliance Advisory.
- Experience of dealing with key internal/external stakeholders.
- Previous experience in analysing regulations and assessing their impact on business.
- Demonstrable experience of motivating and engaging a team.
- Excellent communication skills, both verbal and written.