Temporary Compliance Advisor- Fully Office Based

1 week ago


London, Greater London, United Kingdom Compliance Professionals Full time

THE COMPANY:

Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture they are an excellent employer.

THE RESPONSIBILITIES:

  • 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
  • Reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting (IDs and Forms: 40, 102, 304)
  • Annual and ad hoc Information Requests from Exchanges and other bodies
  • Ad hoc KYC / compliance requests from counterparties
  • Compliance KYC Audits and other Compliance related audits
  • To conduct assigned sections of the firms Compliance Monitoring Program
  • ISDA Master Agreements, TPAs and other legal documents
  • CASS Compliance Monitoring and Advisory support

EXPERIENCE REQUIRED:

  • Role will be fully office based
  • Minimum 3 years industry products (securities, futures, options etc)
  • Understanding and previous involvement with EMIR and MiFIR Transaction Reporting


Microsoft Office
  • Intermediate
- (Desirable) knowledge and experience of UnaVista and Transaction/Regulatory reporting

For further information please contact Hannah Tabatabai
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