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Compliance Monitoring Manager

4 months ago

London, Greater London, United Kingdom eFinancialCareers Full time

Key Responsibilities:

  • Assist on the maintenance of the firm's registers.
  • Counterparty onboarding and KYC/AML checks and work on Regulatory Submissions.
  • Working on PA dealing and gifts and entertainment.
  • To design and to help give Compliance training to the wider teams.
  • Review and assist with sign off on financial promotions.

Key Requirements:

  • Prior buyside experience in a similar role
  • Knowledge and experience and Trade surveillance, best execution, and allocation monitoring in all asset classes (e.g., equities, fixed income, cash, commodities, structured products).
  • Be happy and able to go into the office
**If you are keen to learn more or have any further questions, please reach out to Bradley Handelaar at Danos Consulting.