EMEA Legal Compliance Officer
2 weeks ago
Responsibilities:
- Develop and implement a comprehensive compliance monitoring program to ensure adherence to regulatory requirements.
- Conduct code of ethics/personal account dealing monitoring and market abuse trade surveillance.
- Support the development of a compliance framework for new products and markets.
- Ensure Senior Managers and Certification Regime compliance.
- Oversee MiFID 2 research and best execution monitoring.
Requirements:
- 5-7 years of relevant compliance experience, preferably in a buy-side firm.
- Strong understanding of UK and EU regulatory requirements (including FCA Handbook rules, particularly relating to MiFID 2 requirements).
- Undergraduate degree with relevant certifications (e.g., CISI, CFA, FRM).
- Excellent communication, problem-solving, and organisational skills.
- Proactive and thrives in a complex, dynamic environment.
- Exercises sound commercial judgement.
- Team player with strong ethical standards and high integrity.
Salary Estimate: £65,000 - £85,000 per annum, dependent on experience.
Location: London.
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