Our client is a leading proprietary trading and asset management company based in the city. The company culture is informal, collaborative and highly rewarding of strong performance.
The team is expanding quickly and we are now looking for a Compliance Specialist with US focussed knowledge and experience to join the busy Compliance team and be an expert in the business regarding US-focused compliance.
This is a full-time permanent role, based in London. The role is likely to suit somebody who has made a start to their career in compliance, gained relevant US-focused compliance experience related to proprietary trading and/or market making and is looking to develop further within a growing organisation.
- Obtaining & maintaining an excellent understanding of the organisation and the products and markets it trades & all applicable laws and regulations in various jurisdictions, with a focus on US trading activities;
- Assisting with the planning, design and implementation of compliance projects & controls; Assisting with compliance monitoring & risk reviews;
- Assisting with trade surveillance Assisting with 13-F, 13-H and other regulatory filings;
- Assisting with the training of staff; Reviewing, updating & implementing any changes to compliance policies, practices, structures & procedures as directed by the Head of Compliance.
- To comply with all applicable Compliance policies, procedures, laws and regulations.
- 3 to 5 years’ experience as a compliance generalist;
- Relevant experience in a legal or compliance role in a regulated financial institution; preferably a proprietary trading firm, broker or hedge fund;
- Knowledge of equities, derivatives & trade cycles;
- Degree in Law, Finance, Business or Compliance;
- Excellent attention to detail & well-organised;
- Ability to manage multiple on-going projects and tasks.
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