1 to 25 of 34 MiFID Jobs in London

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 »

is a long-term contract role, a great opportunity! The following skills/experience is essential: Strong Business Analyst background Strong Regulatory Reporting (ideally MiFID) Technical background (SQL, VBA, etc) Understanding of programming languages Excellent communication skills Rate: Up to £625/day Duration: 12 months + Location: London If 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 »

monitoring, financial promotions etc and Complaints’ handling; Assisting with, and providing advice to other teams on, any regulatory matters including AML/CDD, MAR, MiFID II, SMCR, PRIIPs; Development and management of accurate data analysis to enable the Head of Compliance to report to the Executive Committee and Board on … FCA regulated firm; Experience in both B2C and B2B will be considered an advantage Excellent technical compliance skills in the areas of COBS, MAR, MIFID II, DISP, CASS, SYSC and PERG. Significant knowledge of anti-financial crime related matters – ABC, Fraud, MAR, Sanctions, AML/CTF, JMLSG guidance for brokerage 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 »

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 »

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 »

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 »

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 »

of providing Compliance advice to the business as well as implementing solutions to bolster first line defences Existing knowledge of FCA regulations along with MiFID II, MiFIR & EMIR rules and guidance and the ability to horizon scan for future developments Strong knowledge of the regulatory environment for FX and Payments 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 »

Services Solid knowledge of SDLC practices You articulate broader business concerns and/or regulatory landscape, including key risks and controls (such as GDPR, MIFID, SOX) Skilled at making decisions that are in line with the firm’s broader business strategy You set the expectations for development practices and ensures 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 in 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 »

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 »

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 »

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 »

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 »

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 »

Conduct Risk and Consumer Duty training and curriculum and delivers training to new joiners Candidate requirements Strong knowledge of CASS, Consumer Duty, UCITS and MiFID II rules. Experience of working in a conduct role in regulated environment Working knowledge of FCA regulatory requirements including consumer vulnerability guidance Experience in a more »