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Senior Compliance Officer (VP/Director)

A growing and high achieving electronic trading platform based in London.

Description

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;

Advising the business regarding exceptional trade issues, settlement fails, customer enquiries, due diligence questionnaires or interpretation of our rulebooks or other
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;
Assisting with regulatory reporting to comply with the conditions of authorisation
Assisting with practical changes to accommodate new legal or regulatory requirements;

Profile

10 years or more experience of working in UK/EU financial services compliance preferably in regulated electronic trading platforms, market infrastructure, surveillance/monitoring, or post-trade process such as regulatory reporting;
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

Job Offer

competitive salary, with good benefits and potential career progression