Compliance, Internal Audit & Risk

Technical Compliance Associate

£60k - £80k per annum

London

Expiry date:
2024-03-08
Start date:
ASAP
Job type:
Permanent
Job ID:
TCA1

About the role:

Responsibilities:

  1. Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.

  2. Work with CRO to maintain a compliance culture within the business.

  3. Evolving the framework of compliance monitoring and carrying out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment.

  4. Handle staff dealing approval, monitoring and review staff dealing-related reports

  5. Support disclosures of interest and other regulatory reporting and filing for the company.

  6. Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.

  7. Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance

  8. Assist in other tasks assigned and ad-hoc projects including due diligence checks.

  9. Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.

Skills desired:

  • Minimum 3 years’ experience in handling compliance matters, experience with algorithmic trading is preferred
  • Familiarity with Bloomberg useful

If interested, please apply below. Alternatively, please email chris.norton@goodmanmasson.com

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.

Expiry date:
2024-03-08
Start date:
ASAP
Job Type:
Permanent
Job ID:
TCA1

Sounds good?

Does this role sound like the right for for you? Apply using the form and one of the Goodman Masson team members will get back to you as soon as possible. Good luck!

Apply for the role


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