The Compliance team within this Investment & Financial Services firm is looking for a generalist COMPLIANCE OFFICER who can cover all aspects of compliance (including Policies & Procedures).
The Compliance Officer will sit within a small team of 3 people, the role will be to develop and implement a risk-based compliance monitoring programme; including, periodic monitoring, thematic reviews and transactional surveillance of the firm and its businesses.
The Compliance Officer will work effectively with the team to identify Compliance risks and assist with the design & implantation of effective compliance controls.
Collate, produce and assess Compliance Management Information to identify areas where enhancements are required.
Assist with development, implementation & performance of all necessary Compliance risk frameworks e.g. best execution, market abuse, CASS, conflicts of interest, inducements & post-trade transparency etc.
Assist with preparation & drafting of responses regarding compliance regulatory requests.
Attend various committee meetings & represent Compliance in any governance committees & working groups
3 years plus experience working in a Compliance department ideally within Wealth Management, Asset Management or Investment Banking, covering all aspects of Compliance.
Knowledge of MIFID & EMIR would be useful.
Educated to degree level or equivalent.
Strong IT skills – Microsoft Office suite, & ability to troubleshoot technology issues.
Self-starter, able to show initiative with excellent analytical skills.
Team player, strong communication & interpersonal skills, & the ability to work under pressure & to prioritise.
Detail & accuracy focused.
Internal Number: 5870148
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