Compliance Officer

Michael Page Banking and Financial Services
08 Mar 2018
14 Mar 2018
Contract Type
Full Time

The role will lead the membership and listings within the Market Regulation department and will work closely with the business operations, the UK Listing Authority, Royal Institution of Chartered Surveyors and the advisory group.

Client Details

Our client is a regulated securities exchange institution.


  • Lead the listing/membership onboarding process
  • Manage and assist in the development and monitoring of Financial Crime, AML, KYC functions on admission and on an ongoing basis
  • Lead targeted visits to members insuring continued compliance with all relevant Rules
  • Determining and assessing any potential conflicts of interest at admission and on an ongoing basis.
  • Assist in the development and maintenance of all Rules
  • Day to day analysis and investigation of Market Abuse alerts within the Market Supervision tools as well as monitoring for orderly markets
  • Assist with investigations of potential breaches of Exchange rules
  • Develop and maintain Management Information (MI) which will be provided to the Executive team as well as the Board.
  • The person in this role will also cover Market Supervision functions around market abuse as well as the operation and market control of the exchanges trading platform.


The successful candidate will have experience in markets i.e. from a brokerage house, investment bank, etc.

Ideally, they will also have experience in Market Supervision and have a solid understanding of the MAR regulation.

Job Offer

A fantastic opportunity to join a growing institution.

This job was originally posted as

Similar jobs

Similar jobs