Compliance Advisor
2 months ago
London Based Brokerage seek a Contract Compliance Advisor for 3 days per week. Review/audit/investigation requests from Exchanges and Regulators. FATCA and CRS Audit and Advisory; ad hoc tax projects. Advise the Front Office on queries. Monitoring and problem solving with regards to MiFIR transaction reporting. Monitoring and problem solving with regards to EMIR reporting. Reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting (IDs and Forms: 40, 102, 304). Ad hoc KYC / compliance requests from counterparties. Compliance KYC Audits and other Compliance related audits. Ideally you will have an understanding and previous involvement with EMIR and MiFIR Transaction Reporting Desirable knowledge and experience of UnaVista and Transaction/Regulatory reporting. This role based 3 days a week in the City of London to be responsible to monitor and ensure that the Company’s business is conducted in an appropriate manner and in accordance with FCA Handbook, Financial Services and Markets Act 2000, Exchange Rules, Company Policy and other applicable regulations - 6 months initially 3 days a week in the office £400 per day PAYE
Please note you will receive an automated response advising you that we have received your CV.
Morgan Philips Group is a global talent solutions business that disrupts conventional thinking in executive search, recruitment and talent consulting. We operate in over 18 markets in Europe, North & South America, Asia, and the Middle East & Africa. We understand that the future is digital and social, so we embrace the latest technology, including video ads and CVs, as well as social recruiting. Our innovative services are tailored to the new world of work yet we do not lose sight of the fact that employees be they existing and potential are ultimately human beings.
We are committed to ensuring that all job applicants are treated equally, without discrimination because of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.
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