Salary:

£50,000.00 - £70,000.00 / annum

Location:

London

Date posted:

17th April 2019

Employment type:

Permanent

Job reference:

06030-0010934347

Staffing area:

Financial Services


Description

A fantastic opportunity for an ambitious Compliance Associate to join a leading independent investment bank based in the heart of the financial services, Canary Wharf, London.

Role

UK Capital Markets Compliance

Advisory:

  • Provide compliance advice and support the fixed income / equities sales and trading businesses, covering areas such as Exchange listed trading, operational trade research, Trade and Transaction Reporting, market conduct issues; research restrictions, and the management of conflicts in conjunction with the Control Group;
  • Provide compliance input into business development projects, from the introduction of new system infrastructure to new product/jurisdiction business initiatives;
  • Involvement in wider Equities Compliance projects and issues across the equities product group and investment banking and finance;

Policy:

  • Development and maintenance of internal compliance policies and procedures reflecting regulatory changes and developments at regulators and exchanges;
  • Production of compliance alerts on significant regulatory events and areas of focus;

Review:

  • Assisting with thematic desk reviews;
  • Resolution of Exchange, regulatory and internal investigations and enquiries;
  • Key tasks: Input of data into the surveillance model; investigation of identified issues; review of targeted business areas/practices against internal procedures and external regulatory framework; production of review reports identifying issues and proposing remedial action;

Surveillance and Best Execution:

  • Daily communications and transaction surveillance duties;
  • Ongoing technical development of the conduct risk, market abuse and best execution frameworks.

Training:

  • Production of training presentations and supporting materials (for example, desk laminates);

Delivering face-to-face training to trading desks and involvement in firm wide Equities floor training.

Profile

Essential:

  • Direct experience of using monitoring and surveillance system (NiCE Actimize is a plus);
  • Direct experience supporting Sales and Trading activity required with general Equities, Fixed Income and Compliance exposure;
  • Analyst/Associate level, with a proven track record of minimum two (2) plus years compliance experience in an investment firm, regulatory body, exchange or similar;
  • Some knowledge of local regulatory, exchange and internal control requirements;
  • Experience working with the Fidessa Order Management System would be a plus.

Preferred:

  • Experience of best execution monitoring a plus.
  • Experience in working with FX derivatives a plus;
  • Knowledge of MiFID trade and transaction reporting a plus.

Company

A fantastic opportunity for an ambitious Compliance Associate to join a leading independent investment bank based in the heart of the financial services, Canary Wharf, London.

Salary & Benefits

Compliance Associate - £50,000 - £70,000 + bonus + benefits

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms: https://www.roberthalf.co.uk/privacy-notice



London

10th Floor, The Shard
32 London Bridge Street
London
SE1 9SG
gb
0207 389 6900
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