Compliance Monitoring Officer

I am working with a long standing client of mine who are an International Trading Platform. A new role has arisen within the Compliance Monitoring team. As a senior member of the team this role offers variety and the opportunity to work closely with the business advising on new regulations and market challenges whilst being supported by a collaborative diverse team who will help enhance your product knowledge and career in Compliance.

Reporting to Global Head of Legal and Compliance you will be responsible for business activity in the UK, Europe and Asia. Responsibilities include, assisting with the regulatory oversight of pre and post trading activity, regulatory reporting, carrying out routine and thematic monitoring reviews, updating policies and procedures in line with changing regulation and market behaviour, assisting with managing client and dealer on-boarding documentation and preparing management information for executive committees and the board.

The ideal candidate will have 5 years plus compliance experience within Investment Banking, Brokerage firms or Regulators including thematic monitoring; plus experience of MiFID II, market abuse, trade and transaction reporting. An advantage would be Fixed Income experience.