Our client is a leading institutional electronic trading platform with a huge focus on technology.
This is a broad role with a particular focus on the following attributes - central compliance (preparation of management information, policies and procedures, keeping logs, and regulatory reporting) and performing reviews as part of the compliance monitoring programme and AML controls.
Conducting risk-based monitoring reviews as part of the Compliance Monitoring Programme ('CMP'), both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies;
Helping to update the CMP following any changes to the business or market behaviour;
Use of automated surveillance and assessment of surveillance alerts from the trading
Performing AML/KYC reviews periodically per all clients, vendors and associated persons;
Managing client and dealer on-boarding and documentation and attendant enquiries;
Assisting with regulatory reporting to comply with the conditions of authorisation under
the local national competent authority and applicable corporate laws;
Assisting with practical changes to accommodate new legal or regulatory requirements;
Maintaining local compliance policies, procedures, records and general record-keeping
(e.g. breach register, PA dealing notifications etc);
Preparation of management information for executive committees or other relevant
stakeholders such as audit;
Working closely with the group Legal and Compliance team or other internal
stakeholders where necessary to support any of the above.
Experience of working in UK/EU financial services compliance preferably in regulated electronic trading platforms, market infrastructure, surveillance/monitoring, or post-trade process such as regulatory reporting;
Experience of handling tests from a compliance monitoring programme and AML framework, and managing updates
Strong written and verbal skills to produce reports, following up on action points or enquiries;
Preference for someone who has knowledge or experience of MiFID II, market abuse and regulatory reporting obligations (trade and transaction reporting);
Fixed income experience is preferable but not essential.