Compliance Advisor (Broker/ Commodities background)

THE COMPANY:

Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.

THE RESPONSIBILITIES:

• Compliance Advisory duties
• Review/audit/investigation requests from Exchanges and Regulators
• FATCA and CRS Audit and Advisory; ad hoc tax projects
• Research in relation to keeping up to date on financial regulatory developments
• Monitoring and problem solving with regards to MiFIR transaction reporting
• Monitoring and problem solving with regards to EMIR reporting
• Maintaining accurate records and data in conjunction with regulatory reporting
• Reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting (IDs and Forms: 40, 102, 304)
• To conduct assigned sections of the firms Compliance Monitoring Progra
• Annual and ad hoc Information Requests from Exchanges and other bodies
• Compliance KYC Audits and other Compliance related audits
• To conduct assigned sections of the firms Compliance Monitoring Program
• ISDA Master Agreements, TPAs and other legal documents
• CASS Compliance Monitoring and Advisory support

EXPERIENCE REQUIRED:

• Must be able to work 4 days per week in the office
• Generalist compliance Advisory and regulatory experience (NOT KYC) ideally from a Brokerage and commodities trading firm
• Understanding and previous involvement with EMIR and MiFIR Transaction Reporting
• Knowledge and experience of UnaVista and Transaction/Regulatory reporting (desirable)

For further information please contact Hannah Tabatabai