Senior Compliance Associate, Surveillance and Trade Monitoring
dnevo Partners • ENG, GB
1 day ago
Job type
- Full-time
Job description
Senior Compliance Associate, Compliance and Trade Monitoring
This range is provided by dnevo Partners. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
Direct message the job poster from dnevo Partners
Enabling organisations to overcome Compliance, Risk & Reg. challenges
Our Client, a diversified City of London based diversified Financial Services firm is looking to hire an Associate level person to the Compliance Team. The firm handle brokerage, investment banking, trading, wealth management, and principal investment.
The role is fully onsite and will provide a varied environment.
Main Purpose of role
- Monitor trades for compliance with local regulations.
- Monitor trading books for risk limit breaches for escalation.
- Support the broader Risk and Compliance Team with ad‑hoc tasks as may be required during less busy periods.
Key tasks
Perform pre‑trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.
- Work with CRO to maintain a compliance culture within the business.
- 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.
- Handle staff dealing approval, monitoring and review staff dealing‑related reports.
- Support disclosures of interest and other regulatory reporting and filing for the company in the UK.
- Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.
- Coordinate with IT on system enhancement and user‑acceptance testing for features related to compliance.
- Assist in other tasks assigned and ad‑hoc projects including due diligence checks.
- Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.
Requirements
- Minimum 3 years’ experience in handling compliance matters, experience with algorithmic trading is preferred.
- Good exposure to MAR (Market Abuse) is essential.
- Familiarity with Bloomberg useful.
- Immediately available or with short notice is preferred.
Seniority level
Associate
Employment type
Full‑time
Job function
Finance
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