Responsibilities
- Conducting and co-ordinating risk-based monitoring reviews as part of the Compliance Monitoring Programme to assess regulatory requirements and internal policies;
- Assisting with regulatory inspections or enquiries and coordinating responses with input from relevant stakeholders;
- Use of automated surveillance and assessment of surveillance alerts from the trading venues;
- Overseeing KYC and AML reviews periodically per all clients, vendors and associated persons;
- Managing client and dealer on-boarding and documentation and attendant enquiries;
- Financial Promotions (review and sign off)
- Assisting with regulatory reporting to comply with the conditions of authorisation
Experience
- Experience of working in UK/EU financial services compliance preferably coming from Consultancy/Hedge fund;
- Extensive knowledge of MiFID II in particular, obligations for market participants, algorithmic trading, regulatory reporting, outsourcing and compliance supervision;
- Experience of using a compliance monitoring programme (including AML and financial crime), and managing exceptions, documenting reports, making reports
- Provide input into regulatory consultations, implementing changes to the compliance framework following rule changes, or changes to the business generally
