Compliance Advisor
Job in
Greater London, London, Greater London, W1B, England, UK
Listed on 2026-02-02
Listing for:
Compliance Professionals
Full Time
position Listed on 2026-02-02
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Financial Crime
Job Description & How to Apply Below
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:- 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
- Annual and ad hoc Information Requests from Exchanges, Regulators and other bodies
- Ad hoc KYC / compliance requests from counter parties
- Ability to structure and execute on given projects in a stime sensitive manner
- To conduct assigned sections of the firms Compliance Monitoring Program
- ISDA Master Agreements, TPAs and other legal documents
- CASS Compliance Monitoring and Advisory support
REQUIRED:
- Understanding and experience of industry products (securities, futures, options etc)
- Understanding and previous involvement with Compliance tasks within a related sector
- (Desirable) knowledge and experience of Una Vista and Transaction/Regulatory reporting (EMIR/MiFIR)
- Microsoft Office – Intermediate
- Ability to learn and become proficient with internal systems
For further information please contact Hannah Tabatabai
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