Senior Compliance Associate

Robert Half
90000.00 GBP Annual + GBP35000 - GBP85000 per annum
18 Mar 2017
01 Apr 2017
Contract Type
Full Time

Senior Compliance Associate

Central London

Trading Firm

Up to GBP85k

Robert Half are currently recruiting for a Senior Compliance Associate to join a leading trading firm based in Central London.

Key Responsibilities
  • Responsible for implementing and monitoring trading related compliance policies, procedures and internal controls
  • Act as principal point of contact for regulatory audits and inquiries
  • Provide compliance training, including periodic seminars
  • Serve as the internal subject matter specialist to address day-to-day compliance questions regarding trades, trading strategies, the application of technology to trading methodologies, and back-office operations
  • Support the Global Head of Compliance through advice and interpretations regarding existing and new business initiatives
  • Conduct surveillance and generate related reports
  • Interact with relevant regulators on a regularly
  • Undertake special projects as assigned
  • Conduct comprehensive compliance reviews and risk assessments of business activities, practices and controls; identify and mitigate potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, provide guidance to business leaders and compliance staff on how to avoid or deal with similar situations in the future.

Key Requirements
  • Previous exposure to the FCA
  • Working knowledge of most major European regulations (EMIR, MAR/MAD, MiFID)
  • Degree in Law or Mathematics desirable

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply.