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This major firm has an outstanding pedigree in the global financial markets and has developed one of the most advanced MTF platforms in the world, trading all asset classes at lightning speeds. The firm now seeks an ambitious and dedicated Compliance Officer to focus on providing regulatory advice and guidance to third parties and venue participants as well as the platform operators, IT, Finance, Risk, Legal and Product Development teams.
Provide guidance on and implement controls relating to all FCA rules applicable to an authorised MTF
Assist the business with developing MiFID ii solutions and ensure regulatory compliance post-Jan 2018
Respond to participant enquiries, providing guidance in relation to the operation of the MTF and its Rule-book
Work alongside the CCO to increase the profile of the Compliance team within the business
Mentor and develop more junior members of the team
Provide advisory compliance services to the business
Analyse the impact of developing regulatory changes
Develop and streamline new and existing compliance processes
Act as the second line of defence in a dynamic, forward thinking business
Keep abreast of jurisdictional changes and challenges throughout Europe, working closely with legal
Attend industry events and round-tables
Conduct continuing education for sales and product
Of paramount importance, is your ability to engage with stakeholders and provide accurate regulatory advice based on your deep knowledge of the rules that govern the venue and impact trading processes. This is a highly consultative role that requires diplomacy, commercial awareness and influence from day one.
Familiarity with the financial markets, electronic trading, and FCA and EU regulatory developments
Experience responding to regulatory and FCA changes and enquiries
A track record of working with and advising senior business people on compliance matters
Experience in drafting policies, procedures and manuals, along with preparing reports for regulatory bodies and internal management
The ability to advise on regulatory changes and developments
An analytical mind, the ability to solve complex problems and streamline processes
Knowledge of MiFID ii / MiFIR
Strong understanding of one or more of the following asset classes: IRS, CDS, FX derivatives, Equity derivatives and Commodity derivatives
What you need to do now If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now. If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.