The successful applicant will need to be proactive, with an interest in the regulatory environment:

• Provide compliance advice to the business with a focus on execution services.  Knowledge of MAR, transaction reporting, trade reporting, and CASS required.
• Conduct daily market abuse surveillance of automated alerts and escalate potential risks or concerns as appropriate.
• Drafting and submission of STORs. 
• Investigate and manage responses to ad hoc regulatory or exchange queries.
• Assist in the interpretation and implementation of new regulation or guidance and update policies and procedures as required.
• Understanding of Takeover panel reporting requirements is preferrable.
• Undertake monitoring of business and staff activities for both the research and trading sides of the business as outlined in the compliance monitoring programme.
• Deliver induction training sessions and develop ad hoc training for different departments within the firm.
• Depending on experience the candidate will also be responsible for:
  • KYC and AML checks
  • SMCR processes including SMF Applications and Certification

Key Skills and Experience Required

• In the region of 5 years’ experience in a compliance function ideally from an equities/stockbroking background with a professional client-base. Candidates with less than 5 years’ experience with highly relevant experience will also be considered.
• Previous experience of providing advice on regulatory reporting, and market abuse matters.
• Passed relevant CISI examinations (preferred) or be willing to do so.