Responsibilities

• 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

• 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