40 MiFID Jobs in England

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 »

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 in 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 »

Sound knowledge of related processes such as the Know Your Customer (KYC) and the Anti-Money Laundering Regulations. Understanding of client regulatory & Tax classification – Mifid, FATCA, CRS Understanding of the EU/US/UK Sanctions regime Understanding of the Anti-Bribery requirements Exposure to Give up agreements Basic FCA 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 »

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 »

plus experience of working within a sales, relationship management or commercial role Experience of selling data solutions into the buy side community Exposure to MIFID, PRIIPs, SFDR Regulations Kite Human Capital – Hire Better We are unashamedly focused on working with only the best people, who care about customer value and more »

in data-driven environments A strong communicator, who is well-versed in managing external stakeholders Familiarity with rules and regulations in the industry, including MIFID II, GDPR, Suitability, and SMCR Qualifications such as PMP, Prince2, Lean Six Sigma, and CFA are advantageous Benefits: A salary ranging from more »

initiatives, and tasks on time. Complex processing abilities will be required which includes Asset Servicing voluntary election process, Asset Reconciliation, Projects, and Regulatory Submissions (MIFID II Transaction Reporting/PTT, EMIR, SFTR, CMAR and related Cass Governance) are the specific focus areas of the local Ops team. Knowledge of the 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 »

evidence submitted for closure. What we require from the candidate: Experience in Controls testing and Compliance review testing. Experience in Regulatory compliance such as MiFid II. Experience within Banking sector. Capable of working independently and drawing conclusions. Next steps If you are interested in applying for this position and meet more »

per annum I am looking for a compliance and MLRO for a European banking institution. You will be experienced within a MiFID II environment and have have exposure to AML, ABC & Sanctions. Ideally you will have held SMF16/17 status previously although this is not essential. Experience of implementing 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 »

client portfolio Scopes client engagements and projects and effectively prices potential work Drafts external publications and speaks at conferences and events Detailed understanding of MiFiD II, AIFMD, (knowledge of UCITS would be advantageous) and other relevant European and/or US Regulations Review and sign off compliance manuals to a more »

of value. In this role you will ensure compliance with all regulatory, tax, and corporate rules demonstrating relevant regulation knowledge to include UCITS and Mifid II which are crucial. You will also be experienced in comparing and contrasting investment solutions against competitors, market developments, and customer and adviser feedback, as more »

Job Description Project Manager with MiFID - City London The Project Manager will manage activities within the Non-Trading part of MiFiD II and in particular the Inducement workstream which is now gaining significant momentum. - Implement strong governance. - Generate project plans aligned to budgets. - Assess, monitor and drive closure of risks … ensure project delivers within budget. - Must have extensive experience of Project Management within a large scale programme. - Experience of Investment Banking Regulations such as MiFiD I, MiFiD II, Dodd Frank, EMIR. - Ideally have experience of front to back processes and instruments in an investment bank - Have the ability to challenge more »

Asia. Department Overview: The Operations Transaction Reporting Team is responsible for overseeing the daily Transaction Reporting processes, which include transaction reporting to the FCA (Mifid II), SFTR, EMIR and HKMA. The team works closely with the New Business team, Regulatory Technology, Regulatory Affairs and Compliance to ensure that any improvements … weaknesses in the current process by reviewing current reporting logic and data integrity testing. Additionally, to execute the test plans for system enhancements for MIFID II, SFTR, HKMA & EMIR. The candidate will report into the Head of Transaction Reporting. Key Responsibilities & Tasks: EMIR Refit Definition and execution of EMIR Refit … EMIR Refit reconciliations and control framework Definition and documentation of EMIR Operational processes BAU: Oversight and control of the BAU Transaction Reporting obligations including Mifid II, SFTR, HKMA and EMIR Manage work-stream deliverables and support project leads Monitor progress against program plans and milestones, identify actual and potential delays more »

This is an excellent opportunity with Projecting Group working directly with one of our global Fintech clients. We are currently looking for an MiFID Transaction Reporting Specialist to manage MiFID Transaction Reporting (RTS22) submissions, assist with regulatory submissions (MiFID Trade Reporting, EMIR, SFTR, etc.), and handle future transaction-based regulatory … transaction-based regulatory requirements, ensuring compliance and effective reporting. Requirements Main tasks will include: Responsibility for the daily production, delivery and oversight of RLAMs MiFID Transaction Reporting BAU submissions Undertake the associated BAU assurance activities in collaboration with compliance and RLAMs assurance partner. Carry out remediation work as required where … change environment. Participate in internal and external audits and regulatory inspections in relation to the firms reporting obligations. Youll also need: Strong knowledge of MiFID Transaction reporting obligations Knowledge of at least one of the following additional regulatory submissions: MiFID Trade Reporting (RTS1/2), SFTR, EMIR, AIFMD Prior experience more »

e.g. workstream meetings, steering committee updates) Participate in the testing cycle and own the resolution of defects pertaining to requirement and design clarifications using MiFID reporting systems and processes to ensure accuracy, reliability, and adherence to regulatory standards. Qualifications/Skills Required: Hands on experience with business analysis in financial … services- ideally a Buy-side Business Analyst exp. in regulatory reporting space- MiFID/MAS exp. desirable Strong Technical Background with an understanding of programming languages, i.e. Java, C# Experience with various methodologies including waterfall or agile Excellent attention to detail and interpersonal skills Strong analytical and problem-solving skills more »

Senior Business Analyst – MiFID, EMIR, IT Senior Business Analyst is required to join a well-known financial markets business. This is a permanent position (hybrid – 3 days in office), based in London and offers a competitive package. Working closely with the Head of Business Analysis, you will lead a small … team of BA’s working in the post trade clearing area of the business. The main focus will surround regulations such as MiFID and EMIR, and cover technology focused projects. Key requirements: Proven experience as a Senior BA in Financial Markets Experience in regulation, specifically MiFID and EMIR Experience in … global financial markets brand. If you feel like you match the above and would like to hear more, please apply within. Senior Business Analyst – MiFID, EMIR, IT Kite Human Capital – Hire Better We are unashamedly focused on working with only the best people, who care about customer value and maintain 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 »

firms Experience and skills Experience in overseeing investment products Detailed knowledge of UK regulatory requirements for investment products, particularly funds, and an understanding of MiFID and CASS rules University educated with at least one degree Great communication and listening skills Fluency in English Ability to work on your own with more »

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 »

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 »