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
Annual and ad hoc Information Requests from Exchanges, Regulators and other bodies
Ad hoc KYC / compliance requests from counterparties
Ability to structure and execute on given projects in a stime sensitive manner
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:
Understanding and experience of industry products (securities, futures, options etc)
Understanding and previous involvement with Compliance tasks within a related sector
(Desirable) knowledge and experience of UnaVista and Transaction/Regulatory reporting (EMIR/MiFIR)
Microsoft Office – Intermediate
Ability to learn and become proficient with internal systems
For further information please contact Hannah Tabatabai
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