Compliance Advisor - Immediate Start

Recruiter
City East Recruitment Limited
Location
London, UK
Salary
Competitive
Posted
04 May 2019
Closes
04 Jun 2019
Ref
1140589782
Contract Type
Permanent
Hours
Full-time
Level of qualification
Qualified
Compliance Advisor - immediate start London EC4 Permanent Circa up to £50,000 DOE Our client an investment brokerage firm based in London, urgently require a Compliance Advisor to join their busy team and report to the Compliance Manager. Ideally you will have at least 3 years' experience and have a good understanding of Options / Futures / Securities. In addition someone with a strong knowledge of Unavista and transaction / regulatory reporting would be beneficial. This is a permanent role where you will be required to monitor and ensure the business is conducted in accordance with the collective regulations. Responsibilities of the Compliance Advisor will include: Assisting with accurate reporting to exchanges and regulatory bodies, regarding large positions reporting and client identification reporting Maintaining accurate records and data in conjunction with regulatory reporting Monitoring and problem solving with Transaction Reporting Assisting with information requests for exchanges and regulators Conducting assigned sections of the firms Compliance Monitoring Program Assisting with client transaction and order monitoring and market abuse and AML where necessary The successful Compliance Advisor will have: Minimum 3 years industry products (securities, futures, options etc) Strong understanding and previous involvement with regulatory reporting Good working knowledge and experience of UnaVista and Transaction/Regulatory reporting Microsoft Office - Intermediate level