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Temporary Compliance Advisor- Fully Office Based

5 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**:

- 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