Securities Firm - Central London
£50,000 - £55,000 + bonus + Great Benefits
An international banking group are looking to add to their Compliance team in Central London. Working for the securities arm of the business, you will sit in close knit team of four. This is a fantastic opportunity if you're looking to broaden your compliance experience in a varied, generalist role with plenty of opportunity for career progression.
- Development and implementation of the risk-based Compliance Monitoring programme. Perform periodic monitoring, thematic reviews and transactional surveillance of the firm and its businesses.
- Work with team members to identify Compliance risks and to assist with the design and implementation of effective controls.
- Collation, production and assessment of Compliance management information (MI) to identify areas where enhancement are required to the risk controls.
- Assist with the development, implementation and performance of all necessary Compliance risk frameworks (such as best execution, market abuse, CASS, conflicts of interest, inducements, post -trade transparency etc.).
- Assist with responses to regulatory queries.
- Represent Compliance at Governance committees when required.
- Supervise and mentor junior members of the team on matters related to Compliance monitoring and general Compliance duties.
- Help with ad hoc requests and projects.
- Prior experience working within a Compliance department in a similar role. Ability to work in a generalist role.
- Educated to degree level or relevant experience.
- Strong IT skills and competent user of Microsoft Office suite.
- Attention to detail and accuracy.
- Team player, strong communication and interpersonal skills.