London, United Kingdom
Manchester, United Kingdom
Abu Dhabi, United Arab Emirates
Location: London, United Kingdom
Internal Number: 20709925
Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.
Work with CRO to maintain a compliance culture within the business.
Evolving the framework of compliance monitoring and carrying out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment.
Handle staff dealing approval, monitoring and review staff dealing-related reports
Support disclosures of interest and other regulatory reporting and filing for the company.
Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.
Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance
Assist in other tasks assigned and ad-hoc projects including due diligence checks.
Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.
If interested, please apply below. Alternatively, please email firstname.lastname@example.org
In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.