Compliance Associate - Trade Surveillance

Goodman Masson; London; On-site; GBP 40,000 - 80,000; Full time

Job summary

An established industry player is seeking a Compliance Officer to oversee pre-trade and post-trade compliance monitoring. This role involves evolving the compliance monitoring framework, handling staff dealing approvals, and supporting regulatory reporting. If you have a strong background in compliance and are familiar with algorithmic trading, this is an exciting opportunity to contribute to a culture of compliance within a dynamic environment. Join a team dedicated to maintaining high standards of regulatory adherence while working closely with various stakeholders, including regulators and IT teams.

Qualifications

• Minimum 3 years' experience in handling compliance matters.
• Familiarity with algorithmic trading is preferred.

Responsibilities

• Perform compliance monitoring to ensure trades align with guidelines.
• Coordinate with IT on system enhancements for compliance.

Skills

Compliance Monitoring

Algorithmic Trading

Bloomberg

Job description

Responsibilities:

1. Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.

2. Work with CRO to maintain a compliance culture within the business.

3. Evolving the framework of compliance monitoring and carrying out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment.

4. Handle staff dealing approval, monitoring and review staff dealing-related reports.

5. Support disclosures of interest and other regulatory reporting and filing for the company.

6. Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquiries.

7. Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance.

8. Assist in other tasks assigned and ad-hoc projects including due diligence checks.

9. Review current/future regulatory changes and provide recommendations to the business on likely impact.

Skills desired:

• Minimum 3 years' experience in handling compliance matters; experience with algorithmic trading is preferred.
• Familiarity with Bloomberg is useful.

If interested, please apply below. Alternatively, please email [e-mail].

In our company values, we aim for equity at all stages of the recruitment process. Please let us know if we can do anything to make the process more accessible to you.