Compliance Professionals - Compliance Manager

Implement and monitor trading related compliance policies, procedures and internal controls

  • Perform legal review of documentation related to the firm

  • Assist with regulatory audits and inquiries, helping the Head of Compliance to build and maintain a close relationship with the FCA.

  • Registration of personnel, compliance training, Market Abuse and Best Execution surveillance, KYC, AML and on-boarding

  • Assist with control and oversight of the Firm’s Transaction Reporting responsibilities

  • Ensure the Firm’s membership information and regular reporting obligations are up to date, accurate and timely

  • Monitor and report on the effectiveness of policies and procedures and recommend and implement changes where appropriate

  • Support the businesses through advice and interpretations regarding existing and new business initiatives.

  • Assist with compliance aspects of ICAAP and ILAA

  • Undertake special projects as assigned

EXPERIENCE REQUIRED:

  • Russian Language skills desirable

  • Compliance experience in a brokerage or trading firm

  • Experience of implementing and managing KYC processes

  • Experience of UK Law

  • Experience working in a small team / company environment

For further information please contact Hannah Tabatabai

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