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 »
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 »
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 »
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 infinancial … 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 »
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 »
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 »
solving client queries/issuesProven experience working within Financial Services, preferably a data organisationAn understanding of the Regulatory space would be highly beneficial (EMIR, MiFID, ASIC, CFTC, SEC andor SFTR) Strong understanding of SQL & ExcelFluent in French & Professional English speaker This is an excellent opportunity to join a market leading 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 »
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 »
asset trading agreements Advising on the impact of financial regulation for the firm’s trading and other business activities (e.g. EU/UK EMIR, MiFID II etc.) and working on the documentation aspects related to forthcoming regulatory changes Keeping in touch with regulatory developments via close contacts with advisers and 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 »
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 »
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 »
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 »
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 »
Middle Office at the local level.Oversee Management Accounting including cost management, invoice controls, external audit support, tax, and regulatory data submissions.Provide regulatory operations, including MiFID/R T+1 transaction reporting and supporting the control environment of reconciliation, exception queue monitoring and quality assurance testing. Coordinate Business Continuity activities including managing … KnowledgeGood working knowledge of Bloomberg and Aladdin systems is a bonus.Excellent knowledge of Microsoft Excel and other MS Office suite-packages. Strong understanding of MiFID post-trade transaction reporting.FI, Equities, FX, and Total Return Swaps and/or broader derivatives experience.A demonstratable strong control mentality.Fluency in English is essential, knowledge more »
