I am looking for a compliance officer to supports market-making activities across multiple asset classes, with a focus on surveillance, advisory, and control room functions. Ideal candidates will have at least 5 years’ experience in electronic trading compliance and strong knowledge of UK/EU trading venue rules and regulations.
Responsibilities
* Provide real-time compliance and regulatory advice to trading desks and support functions
* Oversee daily trading activities and conduct trade and communications surveillance, escalating potential issues as required
* Interpret and implement regulatory developments, assisting with policy updates and compliance monitoring reviews
* Support regulatory requests, audits, and the preparation of filings to regulators (e.g., AFM, FCA, AMF)
* Handle transaction/position reporting (MiFIR, EMIR, CPR) and assist with KYC requests
* Contribute to compliance training and awareness initiatives across the business
Requirements
* strong experience in financial markets compliance, ideally within trading firms or investment banks
* Knowledge of UK/EU trading venue rules
* Strong understanding of UK/EU financial regulations, including MiFID, MAR, MiFIR, EMIR, CPR, etc.
* Familiarity with the FCA SMCR