Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.
THE RESPONSIBILITIES:
Review/audit/investigation requests from Exchanges and Regulators
FATCA and CRS Audit and Advisory; ad hoc tax projects
Research in relation to keeping up to date on financial regulatory developments
Monitoring and problem solving with regards to MiFIR transaction reporting
Monitoring and problem solving with regards to EMIR reporting
Maintaining accurate records and data in conjunction with regulatory reporting
Reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting (IDs and Forms: 40, 102, 304)
Annual and ad hoc Information Requests from Exchanges and other bodies
Ad hoc KYC / compliance requests from counterparties
Compliance KYC Audits and other Compliance related audits
To conduct assigned sections of the firms Compliance Monitoring Program
ISDA Master Agreements, TPAs and other legal documents
CASS Compliance Monitoring and Advisory support
EXPERIENCE REQUIRED:
Must be able to work 4 days per week in the office
Generalist compliance and regulatory experience (NOT KYC)
Minimum 3 years industry products (securities, futures, options etc.)
Understanding and previous involvement with EMIR and MiFIR Transaction Reporting
Microsoft Office – Intermediate
Knowledge and experience of UnaVista and Transaction/Regulatory reporting (desirable)
For further information please contact Hannah Tabatabai
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