My client, a dynamic and expanding full service investment brokerage company, have an exciting opportunity for an experienced Compliance professional within the regulatory reporting space. The main responsibilities of the role are as follows:

  • Exchange and FCA regulatory reporting in respect of positions and client identification
  • Timely and accurate large trader reporting as per CFTC Form 102
  • Monitoring and the associated problem solving in respect of FCA transaction reporting
  • Maintenance of the associated data and records in respect of FCA transaction reporting
  • Assistance with Customer Complaints
  • Assistance with SAR and STR reports
  • Analysis of Worldcheck/Sanction Screening Analysis

The successful candidate will possess the following:

  • A minimum of 5 years experience of the appropriate products (securities, futures, options etc)/ exchange from within a Compliance/Audit environment
  • Previous involvement with regulatory reporting
  • Enhanced familiarity with AML/KYC procedures.

My client is offering a competitive benefits package for the successful candidate. A full job description is available upon application.