Compliance Officer - Derivatives - Multiple Hires

  • £40,000 to £60,000 per annum
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Investigo Compliance
  • 26 oct. 17 2017-10-26

Investigo Compliance are working alongside a leading Derivatives Broker to recruit for multiple Compliance Generalist's on a permanent basis. These roles have a broad coverage across Advisory, Monitoring, Policy, Surveillance, Central and Training.

Investigo Compliance are working alongside a leading Derivatives Broker to recruit for multiple Compliance Generalist's on a permanent basis. These roles have a broad coverage across Advisory, Monitoring, Policy, Surveillance, Central Compliance and Training. 

Role responsibilities:

  • Advisory to the front office regarding rules and regulations
  • Reviewing, implementing and updating policy and procedures as well as keeping abreast of regulatory developments and change.
  • Investigation of daily alerts produced by the surveillance system
  • Update the firm’s financial crime risk assessment approach
  • Carry out training to keep employees apprised on policy and procedures as well as new regulations.

Successful candidates will have the following:

  • Sound knowledge of financial products (Derivatives, Commodities)
  • A solid understanding of key regulations including MIFID 2, MAR and SMCR
  • A general understanding of derivatives trading
  • Degree educated (2:1) – preferable
  • Excellent communication skills, verbal and written

 

Please apply as soon as possible to avoid missing out on these exciting opportunities.