Compliance Officer (Trade & Transaction Regulatory Reporting)
Start Date: ASAP, for 6 months initially, could potentially extend
Location: Central London Hybrid
Working Hours: Monday to Friday 9am to 5.30pm
We are currently looking for an experienced Compliance Officer with at least 2 years Trade and Transaction Regulatory reporting experience (ideally within your field of expertise), within at least one of the key regulations listed below:-
UK/EU Regulations:
• MIFID Article 26 (Transaction Reporting)
• EMIR Article 9 (Trade Reporting)
• Securities Financing Transactions Regulation (SFTR Reporting)
North American Regulations:
• CFTC (Part 43/45)
• Securities Based Swap Dealer Reporting (SEC 901/902)
APAC Regulations:
• MAS
• HKMA
• ASIC
Responsibilities
• Regulatory change horizon scanning
• Regulatory publications, review, interpretation and documentation
• Stakeholder involvement within regulatory change projects
• Providing regulatory technical advisory and guidance to internal stakeholders (mainly Regulatory Operations).
• Checking and challenging the first line
• Documenting/reviewing regulatory communications such as FCA Errors and Omissions Forms.
• Documenting/reviewing Compliance Risk Assessments