Role Specifications

  • 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.

Candidate Specifications

  • 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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