- Obtaining & maintaining an excellent understanding of the organisation and the products and markets it trades & all applicable laws and regulations in various jurisdictions, with a focus on US trading activities;
- Assisting with the planning, design and implementation of compliance projects & controls;
- Assisting with compliance monitoring & risk reviews;
- Assisting with trade surveillance
- Assisting with regulatory filings;
- Reviewing, updating & implementing any changes to compliance policies, practices, structures & procedures as directed by the Head of Compliance.
- To comply with all applicable Compliance policies, procedures, laws and regulations.
- Minimum of 3 years' experience as a compliance generalist, substantially focused on the US market;
- Relevant experience in a legal or compliance role in a regulated financial institution; preferably a proprietary trading firm, broker or hedge fund;
- Knowledge of equities, derivatives & trade cycles;
- Degree in Law, Finance, Business or Compliance;
- Excellent attention to detail & well-organised;
- Ability to manage multiple on-going projects and tasks.
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