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Compliance Monitoring Officer

  • London
  • £75,000 plus bonus and good benefits

My client is an international firm seeking an experienced Compliance Monitoring Officer from an Investment Bank, Brokerage Trading firm, Hedge Fund or an Exchange. A hybrid role 2 – 3 days in London.

Working as part of the Global Legal and Compliance function you will be responsible for carrying out routine and thematic monitoring reviews (pre and post trade) market abuse monitoring, PA dealing, updating policies and procedures in line with new regulations, managing client and dealer on-boarding documentation, maintaining local compliance policies, updates and general record-keeping, preparation of management information for executive committees and keeping up to date with upcoming legislation.

The ideal candidate will have good knowledge of MiFID II, market abuse and regulatory reporting obligations (trade and transaction reporting).

We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.

Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.

Jane McKechnie – Compliance

Executive Consultant

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