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Compliance Monitoring Specialist

2 months ago

London, Greater London, United Kingdom SIGMA BROKING LIMITED Full time
{"title": "Compliance Monitoring Specialist", "content": "Compliance Monitoring Specialist

At SIGMA BROKING LIMITED, we are seeking a highly skilled Compliance Monitoring Specialist to join our Compliance team. As a key member of our team, you will play a critical role in ensuring the company's regulated and non-regulated activities are in compliance with regulatory requirements.

Key Responsibilities:
  • Conduct risk-based monitoring reviews as part of the Compliance Monitoring Programme ('CMP'), both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies.
  • Helping to update the CMP following any changes to the business, regulatory updates, or as part of a periodic review.
  • Monitoring of trade surveillance alerts and e-communications using software to identify and manage exceptions that could be indicative of market abuse, or inappropriate conduct by the company or its clients.
  • Managing client and dealer on-boarding and documentation and KYC enquiries.
  • Performing AML/KYC reviews periodically per all clients, vendors and associated persons, including ongoing monitoring and ongoing screening.
  • Reviewing policies and procedures to ensure that they are fit and proper, and advising staff of material changes.
  • Maintaining compliance policies, procedures, records and general record-keeping (e.g. breach register, PA dealing notifications, OBI etc).
  • Preparation of management information for executive committees or other relevant stakeholders.
  • Ensuring that training is provided to all relevant staff and tracking participation.
  • Assisting HR with managing regulatory registrations with the FCA and NFA.
  • Working closely with other departments such as Risk, Legal and Operations and Compliance team or other internal stakeholders where necessary to support any of the above.
  • Working with relevant stakeholders to investigate and resolve exceptions arising from compliance monitoring.

Requirements:

  • 3 years or more experience of working in UK/EU financial services compliance preferably from an exchange, broker or firm, involved in trading exchange traded derivatives;
  • Experience of handling tests from a compliance monitoring programme and AML framework, and managing updates;
  • Preference for someone who has knowledge or experience of MiFID II, market abuse and regulatory reporting obligations (trade and transaction reporting);
  • Must be fluent in English (verbal and written);
  • Foreign language (in addition to English) useful but not essential.
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