Full Time

Regulatory Compliance Specialist

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Expiration Date: April 3, 2023

A global financial group is recruiting for a compliance specialist who will provide technical regulatory support to the Trading, Operations, Risk, and Finance departments on regulatory compliance matters.

The jobholder will work closely with the Heads of Dealing, several key members of the Operations team, as well as the Executive Committee.

Key responsibilities:

  • Provide regulatory guidance on UK/EU EMIR and MiFIR Transaction Reporting. Best Execution, Conflicts of Interest, Algorithmic Trading
  • Trading venue and Exchange Rules, Product Governance, OTC derivative risk management (UMR) and Securities settlements
  • Be the primary compliance point of contact for Trading Floor, Product, Risk and marketsrelated Operations team escalations
  • Act as Compliance representative on business and operations-led projects
  • Prepare and present regular and exceptional papers on compliance matters for the Executive and Board Committees
  • Oversight of design and operation of core control environments surrounding operations with regulatory requirements.
  • Supervising compliance-led reporting and escalation to supervisors
  • Identification and analysis of changes to a regulatory environment

Experience Required

  • 3+ years in a compliance function or related department (i.e. Risk, Operations) ideally in a brokerage or trading firm
  • Knowledge of and experience working with the UK/EU regulatory requirements
  • Experience working with OTC and exchange-traded derivative products e.g. swaps, futures
  • Prior experience working closely with a dealing/trading function and/or compliance operations departments
  • Exposure to Compliance systems and understanding of associated workflows for key compliance operations, e.g. Transaction / Trade Reporting
Job Overview
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