Trading & Monitoring Compliance Associate
£40000 - £60000 (Dependant on experience) + Benefits
London (City)
THE COMPANY
Successful global Algo trading business. They have a newly created role which will provide development opportunities to the successful candidate. The role is an exciting opportunity in fast moving dynamic environment.
QUALIFICATIONS & EXPERIENCE REQUIRED
- Minimum 2 years’ experience in handling compliance matters
- Experience of a trading environment is essential (Experience with algorithmic trading is preferred.)
- Coding experience is strongly desired for example Python.
- Familiarity with Bloomberg useful.
- Good Time Management.
- Results Focused.
- Relationship Management skills.
THE ROLE
Reporting to the CRO, the role has three areas of focus which will involve a wide range of tasks:
- Monitoring trades for compliance with local regulations.
- Monitoring trading books for risk limit breaches for escalation.
- Support the broader Risk and Compliance Team with ad-hoc tasks as may be required during less busy periods.
The tasks include:
- Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.
- Work with CRO to maintain a compliance culture within the business.
- Evolving the framework of compliance monitoring and carrying out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment.
- Handle staff dealing approval, monitoring and review staff dealing-related reports.
- Support disclosures of interest and other regulatory reporting and filing.
- Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.
- Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance.
- Assist in other tasks assigned and ad-hoc projects including due diligence checks.
- Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.
Please note sponsorship will not be provided by the employer.
