FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Regulatory Compliance Assistant

My client, a UK based stock broking service, is seeking a Regulatory Compliance Analyst to join their rapidly growing company. The ideal candidate will join the Regulatory Compliance team to maintain and improve the monitoring plan, and to assess new regulatory requirements that have an impact on the company. The role will give great exposure to a number of different regulatory frameworks due to the wide range of financial instruments offered by the company.

JOB TEXT

My client, a UK based stock broking service, is seeking a Regulatory Compliance Analyst to join their rapidly growing company. The ideal candidate will join the Regulatory Compliance team to maintain and improve the monitoring plan, and to assess new regulatory requirements that have an impact on the company. The role will give great exposure to a number of different regulatory frameworks due to the wide range of financial instruments offered by the company.

Key Responsibilities:
* Assist with the daily operations to ensure timely, accurate and complete regulatory reporting to the FCA and other National Competent Authorities, including MiFIR, EMIR and ancillary reports.
* Gather and analyse data for the quality assurance and reconciliation of transaction reports.
* Interact with other departments to improve the Firm's systems and controls.
* Gain a sound understanding of European regulatory and reporting requirements as well as of the internal business model, systems and technology.
* Document and maintain records of all projects, issues and decisions taken.
* Assist in drafting, updating and monitoring the company's policies and procedures for relevant business areas.
* Provide support for replying to internal and external regulatory inquiries.
* Monitor regulatory developments to ensure the firm's adherence to relevant laws, regulations and guidelines (e.g. MiFID II Regulatory and Implementation Technical Standards, ESMA's Q&As, etc).
* Carry out any other ad-hoc tasks at the request of the Senior Regulatory Compliance Associate.
Experience and Qualifications required:
* A Bachelor's degree is required. A degree in law, business, finance or accounting is preferred.
Strong analytical skills to use data/metrics for risk monitoring as well as good oral and written communication skills.
* A working knowledge of key FCA principles for businesses and/or financial services sector (brokerage, bank or securities industry) - prior experience preferred.

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  • GBP40000 - GBP45000 per annum
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 2018-12-11