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
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