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