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Compliance & Monitoring Officer

  • Location: London
  • Sector: Finance
  • Salary: £350 per day
  • Job type: Contract/Interim/Temporary
  • Date posted: 20/09/2017
  • Job reference: 28010
This vacancy has now expired.

This is a new urgent temporary opportunity working within this Securities House reporting to Head of Monitoring and Central Compliance carry out core Central Compliance Tasks including:

o Completion of Registration and other Compliance on boarding requirements for new joiners

o Completing relevant aspects of PA Dealing and OBI processes

o Coordination and administration of Compliance Training

o Preparation of MI for Compliance Management

o Monitor European and UK regulatory developments and coordination identification of new regulations that will impact the organisation

o Initial analysis to respond to routine or ad hoc queries on TOBs or other client topics addressed to Compliance

o Assist with answering ad hoc central Compliance queries from the business

  • Undertake a number of Routine Compliance Monitoring Program tests and assist both Advisory Compliance or Monitoring Managers in
  • Undertake certain routine trade surveillance across asset classes traded by CM Limited
  • Escalate any issues arising from trade surveillance and manage investigations under the direction of the Head of Monitoring and Central Compliance
  • Complete allocated tasks from the Compliance Monitoring Programme ("CMP") and assist with maintaining and updating Monitoring programme to maintain its effectiveness
  • Assist with preparation of Compliance information for internal and external regulatory exams and audits
  • Assist with updating documentation, processes and reporting for relevant central Compliance tasks looking to foster a culture of continued improvement
  • As resourcing and time allows begin to work on MiFID work streams including co‐ordination of responses to client queries
  • Attend all Compliance meetings as required
  • Carry out ad hoc Compliance projects as required

Experience of working within a Compliance function of a similar organisation such as a securities house, broker dealer/wholesale banking, including in a Trade Surveillance, Central Compliance or Monitoring role would be preferred.

This role may go temp to permanent for the right individual.

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