£50,000 + Bonus + Benefits
An International Investment Brokerage are looking for a Compliance Advisor to join their Central London team. The role will involve you monitoring and ensuring that the company's business is conducted in an appropriate manner and in accordance with regulations.
Reporting into the Compliance Manager, main responsibilities will include:
- Responsible for, or assist with accurate reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting (IDs and Forms: 40, 102, 304).
- Maintaining accurate records and data in conjunction with regulatory reporting.
- Accountability for EMIR Delegated Reporting customer on-boarding and continued support.
- Monitoring and problem solving with Transaction Reporting.
- Assisting with information requests from Exchanges and Regulators.
- Where appropriate engage in research in relation to keeping up to date on financial regulatory developments
- Responsible for or assist with confidential investigation research
- Assist, where necessary, with Compliance KYC Audits and other Compliance related audits
- Conduct assigned sections of the firms Compliance Monitoring Program
- To assist with client transaction and order monitoring for market abuse and AML where necessary.
- Microsoft Office - intermediate Level
- Minimum 3 years industry products (securities, futures, options etc.)
- Understanding and previous involvement with regulatory reporting
- Good knowledge of UnaVista and Transaction reporting.