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Compliance Advisor

2 months ago

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:


  • Minimum 3 years industry products (securities, futures, options etc)
  • Understanding and previous involvement with EMIR and MiFIR Transaction Reporting
  • Microsoft Office - Intermediate
  • Knowledge and experience of UnaVista and Transaction/Regulatory reporting (desirable)
















For further information please contact Jordan White - 19009