Senior Compliance Officer Senior Compliance Officer …

Selby Jennings
in London, United Kingdom
Permanent, Full time
Last application, 21 Jan 21
Negotiable
Selby Jennings
in London, United Kingdom
Permanent, Full time
Last application, 21 Jan 21
Negotiable
Senior Compliance Officer Asset management (Hedge Fund) London c.£65k

Responsibilities

  • Conducting and co-ordinating risk-based monitoring reviews as part of the Compliance Monitoring Programme to assess regulatory requirements and internal policies;
  • Assisting with regulatory inspections or enquiries and coordinating responses with input from relevant stakeholders;
  • Use of automated surveillance and assessment of surveillance alerts from the trading venues;
  • Overseeing KYC and AML reviews periodically per all clients, vendors and associated persons;
  • Managing client and dealer on-boarding and documentation and attendant enquiries;
  • Financial Promotions (review and sign off)
  • Assisting with regulatory reporting to comply with the conditions of authorisation

Experience

  • Experience of working in UK/EU financial services compliance preferably coming from Consultancy/Hedge fund;
  • 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
  • Provide input into regulatory consultations, implementing changes to the compliance framework following rule changes, or changes to the business generally
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