Compliance Officer

5 hours ago

London, Greater London, United Kingdom Compliance Professionals Full time
Compliance Officer Job Description

Our client, a boutique investment and trading firm, is seeking a skilled Compliance Officer to join their team. As a key member of the Compliance Professionals team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.

Key Responsibilities:
  1. Develop and maintain a daily alert review and escalation process for MAR Surveillance.
  2. Perform ongoing maintenance of systems, review alert settings, and test system parameters.
  3. Provide ad-hoc advice to the business and stay up-to-date with regulatory changes, their impact, and provide updates to the business and executive committee as necessary.
  4. Review and build out the Compliance Monitoring Plan/Surveillance programme, assisting the wider compliance team.
  5. Identify and escalate current regulatory issues to ensure the firm remains compliant with its obligations.
  6. Review current and future regulatory changes and provide recommendations to the business on the likely impact.
  7. Manage compliance IT projects, specifically for the ongoing improvement of the firm's monitoring and surveillance systems.
  8. Conduct monitoring reviews in line with the Compliance Monitoring Plan.
  9. Report compliance monitoring and surveillance program status and activities.
  10. Produce monthly Management Information in respect of monitoring and surveillance program and Consumer Duty, as well as ad-hoc reports as required.
  11. Handle staff dealing approval, monitoring, and review of staff dealing-related reports.
  12. Support disclosures of interest and other regulatory reporting and filing.
  13. Support regulatory filing and liaise with UK authorities on their enquiries.
Requirements:
  1. Experience in a trade monitoring/trade surveillance function in a trading, brokerage, gambling, or banking environment.
  2. Knowledge of the rules and regulations of the UK FCA and other applicable regulatory agencies.
  3. Knowledge of Financial markets and products.

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