CyberscopeTV

About the job

Job Purpose Summary Regulatory requirements are driving opportunities for new technological solutions with an increased focus on compliance. This role is a fantastic opportunity for the right candidate to be part of an innovative firm that is growing and breaking new ground in the financial markets in both the trading and post-trade environment. The role is an opportunity to play a key part to help maintain a strong compliance culture and an effective control framework. The opportunity which will give the candidate excellent first-hand experience to learn different compliance disciplines and opportunities to get involved with business matters from the outset. Training will be provided depending on experience and in line with company policy. Key Responsibilities & Accountabilities General Support Responsibilities Include: * Conducting and co-ordinating risk-based monitoring reviews as part of the Compliance Monitoring Programme (‘CMP’), both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies; * Updating the CMP following any changes to the business, market behaviour, regulations or best practice; * Acting as the central point of contact within Compliance for managing incidents and notifying regulators; * Use of automated surveillance including assessment of surveillance alerts from the trading venues, UAT for new alerts, parameter checking and ensuring that system is fit for purpose; * Tracking open issues whether to be completed by Compliance or other functions to ensure that stakeholders meet their targets; * Assisting with regulatory inspections or enquiries and coordinating responses with input from relevant stakeholders; * Advising the business regarding exceptional trade issues, settlement fails, customer enquiries, due diligence questionnaires or interpretation of our rulebooks or other compliance requirements or questions. * Overseeing KYC and AML reviews periodically per all clients, vendors and associated persons; * Managing client and dealer on-boarding and documentation and attendant enquiries; * Assisting with regulatory reporting to comply with the conditions of authorisation under the local national competent authority and applicable corporate laws; * Assisting with practical changes to accommodate new legal or regulatory requirements; * Managing local compliance policies, procedures, records and general record-keeping (e.g. breach register, PA dealing notifications etc); * Preparation of management information for executive committees or other relevant stakeholders such as regulators or auditors. * Reporting directly to and working closely with the Head of Compliance, EMEA & APAC and other internal stakeholders where necessary to support any of the above. * Participating in working groups or internal control meetings as required. * Potential management of up to 2 junior staff in UK/EU. Person Specification Knowledge/Experience * 10 years or more experience of working in UK/EU financial services compliance preferably in regulated electronic trading platforms, market infrastructure, surveillance/monitoring, or post-trade process such as regulatory reporting; * Extensive knowledge of MiFID II in particular, obligations for market participants, algorithmic trading, regulatory reporting, outsourcing and compliance supervision; * Experience of using a compliance monitoring programme (including AML and financial crime), and managing exceptions, documenting reports, making reports and following up on any attendant actions arising from any testing. * Review and where necessary, providing input into regulatory consultations, implementing changes to the compliance framework following rule changes, or changes to the business generally. * Managing important issues internally and externally, such as error trades, regulatory remediation, compliance matters relating to staff, liaising with the regulator. * Management of junior compliance staff, developing them personally, and ensure that they are meeting their goals, objectives and routine tasks. * Liaising will all business, support and control functions and representing Compliance internally and externally where required

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London,United Kingdom