My client is a is highly successful in the United States and is focussed on and investing in achieving similar success in UK and Europe. Evidence of our commitment includes hiring new talent, accelerated development of the trading platform for Europe, increasing EU market share, and a recent acquisition.
You will be part of the regional Compliance function to assist with the regulatory oversight and control of my clients new financial market (MTF) and post-trade services (DRSP) operated from Amsterdam.
Your responsibilities will include:
- Advising the business on the local regulatory requirements and ensuring compliance with the Rulebook
- Compliance and financial crime monitoring / use of automated surveillance and assessment of surveillance alerts on the MTF
- Performing periodic KYC and AML reviews
- Managing client and dealer on-boarding and documentation;
- Performing compliance monitoring and contributing to compliance risk reviews
- Compliance Advisory - Act as a point of contact for compliance queries
- Horizon Scanning - monitoring changes to local regulations that may affect the regulated activities
- Advising the local business on the requirements for marketing
- Maintaining local compliance policies and procedures
- Preparation of management information for executive committees or other relevant stakeholders
- Manage customer enquiries regarding our local regulatory set up
- Working closely with the Legal team and local counsel
My client is ideally looking for a compliance professional with experience of working in the UK/EU financial services compliance. My client has a strong preference for candidates with proven experience from a regulated electronic trading platforms or market infrastructure background. Given that this is a technical compliance role my client is seeking knowledge or experience of MiFID II and associated regulations (e.g. market abuse and settlements). As this is a relatively new function we are seeking a compliance officer who is willing to work independently as a standalone function in the new EU office. Fixed income experience is preferable but not essential. Ex-employees of regulatory authority's would be welcome. If you would like to apply for this position please email ClaireSmith@taylorroot.com
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.