Compliance Monitor (Trading)
£250 per day
Six month FTC
The Client
A well established and entrepreneurial financial services company which focuses on dealing with institutional clients. Operating in multiple jurisdictions it is wholly owned by a larger independently owned business with 60,000 + employees. It offers it's clients a broad range of brokerage services across multiple asset classes.
The Role
- Monitoring and reporting of trading and sales activity
- Assist with the implementation of MiFID 2
- Product covered includes vanilla and derivative FX, Equities and Commodities
- Assist in formal Exchange Investigations
- Handle customer queries and complaints where applicable
Key Skills and Attributes
- Cognisant of MiFID 2
- Minimum five years industry experience
- Experience and understanding of KYC
- Intermediate level Microsoft Office suite including good understanding of Excel Macro's
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