Compliance Advisor

Compliance Professionals; Greater London; On-site; GBP 55,000 - 70,000; Full time

Job summary

A full-service investment brokerage company in Greater London seeks a compliance advisor to oversee regulatory audits and monitor compliance with local regulations. Responsibilities include reviewing requests from exchanges, conducting audits, and ensuring data integrity in compliance reports. Ideal candidates will have experience with industry products and compliance tasks. Strong analytical skills and knowledge of compliance monitoring are essential. This role offers an opportunity to contribute to a robust compliance culture within a leading financial firm.

Qualifications

• Understanding and experience of industry products.
• Experience with compliance tasks in related sectors.
• Desirable knowledge of EMIR/MiFIR reporting.

Responsibilities

• Review audit requests from Exchanges and Regulators.
• Conduct FATCA and CRS Audit and Advisory.
• Monitor MiFIR and EMIR reporting.
• Maintain compliance data and records.
• Support CASS Compliance Monitoring.

Skills

Understanding of industry products (securities, futures, options)

Experience with Compliance tasks

Intermediate Microsoft Office skills

Ability to learn internal systems

Tools

UnaVista

Job description

THE COMPANY:

Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.

THE RESPONSIBILITIES:

• Review/audit/investigation requests from Exchanges and Regulators
• FATCA and CRS Audit and Advisory; ad hoc tax projects
• Research in relation to keeping up to date on financial regulatory developments
• Monitoring and problem solving with regards to MiFIR transaction reporting
• Monitoring and problem solving with regards to EMIR reporting
• Maintaining accurate records and data in conjunction with regulatory reporting
• Annual and ad hoc Information Requests from Exchanges, Regulators and other bodies
• Ad hoc KYC / compliance requests from counterparties
• Ability to structure and execute on given projects in a stime sensitive manner
• To conduct assigned sections of the firms Compliance Monitoring Program
• ISDA Master Agreements, TPAs and other legal documents
• CASS Compliance Monitoring and Advisory support

EXPERIENCE REQUIRED:

• Understanding and experience of industry products (securities, futures, options etc)
• Understanding and previous involvement with Compliance tasks within a related sector
• (Desirable) knowledge and experience of UnaVista and Transaction/Regulatory reporting (EMIR/MiFIR)
• Microsoft Office – Intermediate
• Ability to learn and become proficient with internal systems

For further information please contact Hannah Tabatabai