Senior Compliance Officer

Selby Jennings
Closing date
6 Jul 2021

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Contract Type

Job Details

  • Conducting and co-ordinating risk-based monitoring reviews as part of the Compliance Monitoring Programme to assess regulatory requirements and internal policies;
  • Assisting with regulatory inspections or enquiries and coordinating responses with input from relevant stakeholders;
  • Use of automated surveillance and assessment of surveillance alerts from the trading venues;
  • Overseeing KYC and AML reviews periodically per all clients, vendors and associated persons;
  • Managing client and dealer on-boarding and documentation and attendant enquiries;
  • Financial Promotions (review and sign off)
  • Assisting with regulatory reporting to comply with the conditions of authorisation

  • Experience of working in UK/EU financial services compliance preferably coming from Consultancy/Hedge fund;
  • Extensive knowledge of MiFID II in particular, obligations for market participants, algorithmic trading, regulatory reporting, outsourcing and compliance supervision;
  • Experience of using a compliance monitoring programme (including AML and financial crime), and managing exceptions, documenting reports, making reports
  • Provide input into regulatory consultations, implementing changes to the compliance framework following rule changes, or changes to the business generally

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