Compliance Monitoring Officer required for a 6-month contract at a leading commodities broker based in London. The role required you to be in the office five days a week.
As their Compliance Monitoring Officer you will be integral to ensuring the company's business is conducted in an appropriate manner and in accordance with the FCA Handbook, Financial Services, and Markets Act 2000, Exchange Rules, Company Policy and other applicable regulations (collectively the 'Regulations').
The main duties of this role will include:
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 regard to MiFIR transaction reporting
Monitoring and problem solving with regards to EMIR reporting
Maintaining accurate records and data in conjunction with regulatory reporting
Reporting to Exchanges and Regulatory bodies regarding large positions reporting and client identification reporting (IDs and Forms: 40, 102, 304)
Annual and ad hoc Information Requests from Exchanges and other bodies
Ad hoc KYC / compliance requests from counterparties
Compliance KYC Audits and other Compliance related audits
To conduct assigned sections of the firm's Compliance Monitoring Program
ISDA Master Agreements, TPAs and other legal documents
CASS Compliance Monitoring and Advisory support
Ideally, you'll have three years of experience across securities, futures, and options environments with an understanding and previous involvement with EMIR and MiFIR Transaction Reporting.
This role pay £450 inside IR35 and requires you to be in the office five days a week.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
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