Job Function
Legal Support
Description
The successful applicant will need to be proactive, with an interest in the regulatory environment:- Provide compliance advice to the business with a focus on execution services. Knowledge of MAR, transaction reporting, trade reporting, and CASS required.
- Conduct daily market abuse surveillance of automated alerts and escalate potential risks or concerns as appropriate.
- Drafting and submission of STORs.
- Investigate and manage responses to ad hoc regulatory or exchange queries.
- Assist in the interpretation and implementation of new regulation or guidance and update policies and procedures as required.
- Understanding of Takeover panel reporting requirements is preferrable.
- Undertake monitoring of business and staff activities for both the research and trading sides of the business as outlined in the compliance monitoring programme.
- Deliver induction training sessions and develop ad hoc training for different departments within the firm.
- Depending on experience the candidate will also be responsible for:
- KYC and AML checks
- SMCR processes including SMF Applications and Certification
Key Skills and Experience Required
- In the region of 5 years' experience in a compliance function ideally from an equities/stockbroking background with a professional client-base. Candidates with less than 5 years' experience with highly relevant experience will also be considered.
- Previous experience of providing advice on regulatory reporting, and market abuse matters.
- Passed relevant CISI examinations (preferred) or be willing to do so.
Job ID: 80905716
