Senior Compliance Officer

Location: London, England, United Kingdom

Salary: £80-100K

This Boutique investment bank is looking for someone to join their EMEA compliance team here in London, this is an exciting opportunity to involved in a wide range of compliance activities as well as taking the lead on the compliance assurance and Monitoring programme as well as get involved in day to day advisory work where necessary.

This Boutique investment bank is looking for someone to join their EMEA compliance team here in London, this is an exciting opportunity to involved in a wide range of compliance activities as well as taking the lead on the compliance assurance and Monitoring programme as well as get involved in day to day advisory work where necessary.

The purpose of the role

The Compliance Officer will be responsible for developing the firm’s Compliance framework through proactive and reactive engagement, which may include: responding to questions from Front Office personnel, Operations, IT; undertaking monitoring reviews of the firm’s compliance with policies and regulations, assisting with the Compliance surveillance program; assisting the Compliance teams Financial crime and on-boarding activities; responding to regulatory enquires and Management requests.  The individual will report to the Head of European Compliance.

Responsibilities

  • The Compliance Officer will be responsible for undertaking and assisting the following tasks in additional to other ad hoc Compliance tasks. 
  • Conducting compliance monitoring assurance reviews including thematic reviews in accordance with the Compliance Monitoring Plan
  • Leading the development and enhancement of existing assurance program
  • Interpreting and applying relevant regulatory developments and rule changes applicable to Instinet in support of assurance program
  • Working with relevant business areas to implement identified remediation points
  • Implementing Compliance related remediation items (training, policies, controls etc)
  • Preparing MIS for Management reporting
  • Promoting the compliance culture and awareness across the firm

Other ad hoc tasks

  • Regulatory reporting e.g. Completing MTF reporting to the FCA
  • Supporting Surveillance team
  • Developing and delivering appropriate training
  • Reviewing and drafting internal policies, procedures, and guidance, as required
  • Completing other ad-hoc projects and tasks as required by the Head of Compliance.
  • Submitting regulatory and exchange registrations
  • Responding to regulatory and exchange enquiries

 

Essential experience

  • A working knowledge of the FCA’s Handbook, specifically COBS, MAR and SYSC
  • Proven track record of Compliance Monitoring/Assurance of an equities business