10 MiFID Jobs in London with Remote Work Options

pipelines Outstanding written & verbal communications skills Highly advantageous: 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 »

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 »

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 »

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 »

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 »

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 »

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 »

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 »