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Compliance Officer

  • Location: London
  • Salary: £100,000 - £120,000 + Bonus + Benefits per year
  • Job Type:Permanent

Posted about 1 year ago

  • Sector: Compliance
  • Contact: Jake Kelly
  • Contact Email: jkelly@merje.com
  • Contact Phone: 02036371604
  • Expiry Date: 23 April 2023
  • Job Ref: JK/9525

​​​MERJE are working with a fast growing investments business who are looking for a Compliance Manager to join their team.

Key Responsibilities:

• Assisting with queries around EU short selling rules and requirements

• Carry out daily position monitoring, intraday capacity checks as well as reconciliation and review of daily reports and submission filings

• Responsible for trouble shooting and developing tools to help with the monitoring and filing process

• Responsible for transaction reporting, providing guidance on as well as reviewing the rules and requirements

• Working closely with stakeholders to resolve day to day reporting issues as well as assisting in developing and managing additional tools and reconciliations processes

• Assist in carrying out the non-trade surveillance program which including chaperoning expert network calls, call monitoring, and e-comm monitoring

• Responsible for the review and monitoring of UK and EU long and short disclosures (including Europe, takeover panel) and ensure handled timely

• Responsible for the coordinator of AIFMD, MiFIDPRU and other filings within RegData ensuring they are completed and submitted in a timely manner

• Monitoring regulatory developments (including MAR, MIFID II, MiFIR and EMIR) and updating compliance policies/procedures as required

Key Requirements

•Practical experience with disclosure and regulatory reporting and monitoring

•Exposure to/understanding of different types of instruments (equities, equity derivatives, macro and credit)

•Knowledge of insider dealing rules and regulations

•Knowledge of hedge funds, investment advisory functions and research

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.