Our client is a prestigious brokerage firm working in the wholesale markets. Increasing work volumes has led to the need for an experienced Compliance professional to come on board and undertake real time and post-trade monitoring the trading activities within the business.
Reporting to the Head of Monitoring, your duties and responsibilities will include:
• Undertaking monitoring visits and following up on any recommended remedial action;
• Monitoring adherence to the FSA and Exchange rules;
• Identifying training needs and IT requirements within the business;
• Assisting with audit visits, investigations and projects;
• Dealing with Market Abuse issues and conflicts of interest
You will have proven Compliance monitoring experience – those with Exchange or brokerage experience will be at an advantage. You will have strong inter-personal skills and an excellent attention to detail. Excellent opportunity.
