Compliance Advisory - Brokerage - Multiple Headcount - FTC and Perm

Recruiter
Investigo Compliance
Location
London
Salary
Competitive
Posted
05 Aug 2017
Expires
15 Aug 2017
Contract Type
Permanent

Investigo Compliance are working alongside a leading Brokerage to recruit for multiple Compliance Advisory Officers to join their team on both permanent and fixed term contract basis.

Key Duties to include;

  • Assist with the implementation of MiFiD II and various regulatory change events.
  • Assist in the identification of upstream regulatory risk, and working to respond to or mitigate any such identified risks;
  • Deliver regulatory advice and compliance-related support to the business.
  • Build working relationships with key internal stakeholders including Senior Management, Desk Heads, and support function Heads
  • Assist in the delivery of the Compliance training programme for the various business units and conduct ad hoc training as and when required.
  • Review the output from the Monitoring Programme and ensure that any remedial action necessary is carried out.
  • Partnering with Front Office traders/brokers to provide Compliance advice
  • Review and assess any New Business Initiatives
  • Carry out face to face training of front office staff and, as required, senior management.

Ideal candidates will;

  • Have previous experience working within the Brokerage/Financial Markets space
  • Have a strong understanding of MIFID II and other EU Directives
  • Be a strong communicator with previous experience dealing with the Front Office.

For more information please apply as soon as possible or email me at or call me on