Overview
In this permanent role, you will work directly with the Senior Compliance Officer and Chief Compliance Officer to deploy the regulatory compliance framework.
A key part of this will be overseeing the trading desk to ensure their conduct is in line with market abuse and MiFID regulations. Allied to that, you'll be able to gain exposure to broader compliance themes & regulations - this being a full licensed bank.
Specifically, the Compliance function aims to provide a high degree of assurance that regulatory obligations as well as high standards of conduct and ethical practices are met.
You will be part of the second Line of Defence and will provide support and assistance to our existing team on all compliance activities across the firm.
Key Accountabilities
You will undertake various compliance activities including;
i) maintaining compliance calendars,
ii) monitoring certain regulated activities, including call monitoring,
iii) collating committee and other governance forum reports and papers,
iv) assisting with regulatory correspondence and keeping abreast of operating practices.
Specific tasks include:
Assisting with daily monitoring activities, including
monitoring of trade surveillance calls
Maintaining the Compliance Workflow through MS Planner and supporting the completion of BAU tasks
Maintaining the Compliance Team Actions Log
Logging regulatory correspondence/requests and ensuring timely submission of responses
Assisting in the preparation and distribution of reports and papers for Management Committees, including the Compliance Committee
Collating and reporting Compliance KRIs and KPIs
Downloading reports and preparing Management Information for the Compliance Team
Maintaining the Compliance Manual, Compliance Procedures and Registers
Ensuring policies and procedures are annually reviewed, approved and communicated
Oversight of staff
personal account dealing
Quarterly roll-out and tracking of the completion of Compliance online training
Monitoring completion of regulatory reporting activities to ensure timely submission of returns
Your Background
Some initial experience in a financial institution, preferably within Compliance or a first line role with controls exposure
Strong academic record, preferably to degree level, supported by relevant qualifications.
This is a hybrid role with 4 days per week in the office in the IFSC.