clients across the retail and wholesale financial services sector, advising a broad range of clients including all types of banks, FinTech companies, payment institutions, MIFID investment firms, fiat and crypto trading venues, energy trading companies and insurers. The partners have particular expertise in advising clients on the cross-border offering more »
our ETF surveillance capabilities. Job Description: The role involves monitoring and analyzing ETF trading activities to detect market abuse patterns and ensure compliance with MiFID II regulations. The successful candidate will collaborate with the CRO to refine surveillance processes and tools, utilizing their market surveillance experience and trading interest. Coding more »
London, England, United Kingdom Hybrid / WFH Options
Willow Resourcing Limited
ll have gained several years’ Compliance experience focused on investment products and have a detailed knowledge of UK regulatory requirements in this space, including MiFID, MAR, UCITS etc. Excellent communication and stakeholder management skills are essential. Interested? Click apply. Not got an up to date CV? Don’t worry, you more »
London, England, United Kingdom Hybrid / WFH Options
Martis Search
Job Description The Role Compliance Manager – Asset Management & Hedge Fund Compliance Consultancy (Must have solid Asset Management & Hedge Fund Compliance experience) Martis Search are representing an established, boutique London based Compliance Consultancy company that specialises in Compliance & Legal Consultancy services more »
London, England, United Kingdom Hybrid / WFH Options
Martis Search
very strong understanding of Compliance Retail and Institutional offering for Funds offering in UK and Europe, with extensive knowledge of the FCA rule book, Mifid rules, as well as UCIT’s funds. The whole team work together in the office x 5-days a week, however everyone can work remotely … creating and managing compliance controls/testing, reviewing marketing materials, managing/submitting regulatory filings Familiarity with EU and UK rules, including UCITS and MiFiD Understands the team is lean and must be hands on and prompt for urgent deliverables Benefits Contributory Pension; Remote working during July and August plus more »
Greater London, England, United Kingdom Hybrid / WFH Options
Martis Search
The Role Compliance Manager – Asset Management & Hedge Fund Compliance Consultancy (Must have solid Asset Management & Hedge Fund Compliance experience) Martis Search are representing an established, boutique London based Compliance Consultancy company that specialises in Compliance & Legal Consultancy services, specifically for more »
expiry experience. An understanding of the CASS rules and how they are applied to Exchange Traded Derivative. An understanding and experience of transaction reporting (MIFID and EMIR) from both a client and delegated perspective. Vendor management experience (both back office and front office relationships). The ability to form relationships more »
verbal communications skills Highly advantageous but not essential: Understanding of futures (especially LME), options or other exchange traded derivatives Experience of regulatory reporting (eg MIFID, EMIR) Advantageous: REST API experience including deployment, security and orchestration Web frameworks (eg React, Knockout and JQuery) Windows Forms (WinForms) and WCF Azure DevOps for more »
of relevant financial regulatory frameworks including but not limited to the FCA Handbook (COBS and CASS), Regulated Activities Orders, FSMA, PDS2, EMD2, AIFMD, UCITS, MIFID II, IDD, EMIR, Financial Crime legislation (including MLRs, MAR, POCA, etc.) European Union Withdrawal Agreements; and of regulations for ICAAP/ICARA, ISO27001 Excellent verbal more »
advisory capacity in an investment, commercial, or wholesale bank Good knowledge of Debt Capital Markets and/or private finance markets Good knowledge of MiFID II and IB Conduct rules Strong teamwork credentials, while also being able to work independently Candidates must be based in the UK with full and more »
Compliance advice, guidance, training and support in relation to all regulatory matters applicable to the UK branch, with significant focus on the Global Markets, MiFID II, EMIR-related elements of the relevant business lines as well as cover for Global Banking Coverage and Private Banking Compliance as part of the more »
for new business projects, including new funds, instruments, counterparties & business lines ·Assist with International long/short daily filings· Monitor regulatory developments (including MAR, MIFID II, MiFIR and EMIR) and updating compliance policies/procedures as required Review of trade errors, market abuse related matters and market soundings Organise compliance more »
Knowledge of trade lifecycle processes including: booking, amendment, contracts, and settlements. · Knowledge and interest of GB Power trading (products, market, etc.). · Knowledge of MiFID, EMIR, REMIT, MAR For more information, please contact Tomas at Marlin Selection and apply via the link provided. more »
Board reports. Experience Required: 1 - 3 years’ experience working within an alternative investment manager or consultancy Generalist compliance experience Knowledge and understanding of AIFMD, MiFID II, UCITS/COLL Some knowledge & understanding of ESG regulation Experience working at SEC registered investment advisers is desirable Able to work independently & as part more »
UK regulatory framework, and direct relevant experience is highly desirable. Knowledge of the U.S. compliance regime and SEC rules would be advantageous UCITS/MiFID/ESG knowledge would beneficial ASAP Start Date 6 Months If this is of interest, please apply and I'll be in touch asap. Thanks more »
Technical Business Analyst (MiFID) - CONTRACT - Up to £650 P/D - Elite Financial Firm Job Title – Technical Business Analyst (MiFID) Employment Type: Contract Salary – Up to £650 P/D Location – London Length: 6 Months (High Potential of Extension) An Elite Financial Firm is looking for a talented Technical Business … unlimited tech budget and promote a great culture! Role Working closely with Software Engineers, other Business Analysts and stakeholders on a large-scale greenfield MiFID project. Being involved in re-architecting the whole reporting ecosystem A chance to truly be entrepreneurial Skills Experience in the finance sector is essential Knowledge … of MiFID or working on a regulatory reporting platform is essential Strong Computer Science fundamentals (ability to understand/read code) Experience working in mission critical environments where speed, reliability and scalability are the most important attributes Knowledge of SQL queries more »
has a strong all round “Generalist Compliance” experience, but with particular leaning towards “Regulatory Compliance”, so for example all Regulatory experience working in a MiFID firm and Payment Institution – as per FCA Handbook and relevant regulations (i.e. SMCR, MiFID II). The role will also be responsible for Compliance Monitoring … deadline. Essential experience & skills 5+ years core compliance experience in an investment firm or other financial services sector, in a management role Knowledge of MIFID 2, including client classification for professional clients, best execution, client disclosures, remuneration policies and ongoing training requirements for MIFID staff Understanding of the SMCR rules … and implementation of suitability and background checks Experience with FCA reporting for PSD and MiFID firms A good knowledge of data protection and GDPR rules Experience in making judgments from applying policies and processes to non-routine scenarios with imperfect information Demonstrate strong moral and ethical principles Comfortable in a more »
Compliance Associate Manager to support the investment side of their business. You will play a vital role in ensuring the ongoing compliance of their MiFID investment firms with relevant regulations and industry standards. Responsibilities: Develop and execute comprehensive compliance monitoring programs to ensure adherence to regulatory requirements. Create and implement … regulated entities and the broader Group. Requirements: Extensive and proven track record in regulatory compliance within the financial services or consultancy sectors, preferably within MiFID firms. Thorough comprehension of the UK regulatory landscape for financial services, encompassing MiFID II and AML/CTF regulations. Exceptional analytical prowess and adept problem more »
out populations of alerts from either e-communications or trade surveillance platforms; familiarity with a range of surveillance vendor technologies; knowledge of MAR and MiFID II regulation; significant technical knowledge of one or more wholesale banking asset classes; working with trade and order transactional data; tuning lexicons and machine learning more »
to full completion. Ensure customer details and accounts are set up on all applicable systems and spreadsheets once KYC has been completed. Carrying out MiFID classifications on new, ongoing, and remediation clients in accordance with the product and client type. Ensure the AEoI information is accurately recorded and that appropriate more »
step into such a position. There is a heavy preference for this person to have knowledge of Regulations such as EMIR 2.0/30, MIFID II or BoE regulations. more »
of the regulatory and compliance requirements applicable to the activities undertaken by Global Marketsin UK and Europe (e.g. FCA, PRA, ESMA, CBI, AMF, MiFID) Strong awareness of the control environment to manage and mitigate regulatory compliance risks. Understanding of key end-to-end processes related to relevant Capital Marketsmore »
House, Exchange, Member Firm or the ETD department within a bank. Previous line management experience would be beneficial Knowledge of EMIR 2.0/30, MIFID II and BoE regulations would be an advantage Services offered by Computappoint Limited are those of an Employment Business and/or Employment Agency inmore »
