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 »
Employment Type: Permanent
Salary: £100000 - £111000/annum good bonus, pension, health, gym e
audit infinancial services across several of the following areas, such as: Regulatory reporting (COREP/FINREP) Client Money and Assets (CASS) CRD IV MIFID II Recovery & Resolution Planning (RRP) ICAAP and Pillar 3 reporting Senior Managers & Certification Regime FCA Systems and Controls especially in relation to Compliance and Risk more »
projects etc Experience & Skills: 3 years relevant industry experience Good knowledge of compliance function responsibilities within the asset management industry Some working knowledge of MiFID II, MAR, and other relevant regulation Some working knowledge of the different asset classes that asset management firms typically trade Ideally some knowledge of trading more »
St Albans, England, United Kingdom Hybrid / WFH Options
Antony George Recruitment
ISAs, Investment Accounts, Bonds, and all forms of protection. To be aware of all relevant FCA regulations and guidelines relating to financial services including MiFID II, GDPR & PRIIPS. To be efficient, diligent, and disciplined in all tasks undertaken. Must be a great team player and be able to work collaboratively more »
Advisor (IFA) environment with comprehensive knowledge of retail investment products. Familiarity with SIPP providers, permitted investments, and specialist funds. Understanding of industry legislation, including MiFID II, GDPR, and AML. To apply for this exciting opportunity, submit your application today. If your profile aligns with our criteria, one of our specialist more »
Consumer Duty to investment products and services. Strong knowledge of the UK regulatory framework as it pertains to discretionary and non-discretionary investments, i.e. MiFID, COBS and MAR. An understanding of FCA systems & controls as applicable to a retail platform. Basic knowledge of GDPR is helpful. Knowledge of dealing, custody more »
Consumer Duty to investment products and services. Strong knowledge of the UK regulatory framework as it pertains to discretionary and non-discretionary investments, i.e. MiFID, COBS and MAR. An understanding of FCA systems & controls as applicable to a retail platform. Basic knowledge of GDPR is helpful. Knowledge of dealing, custody more »
Custodian Fail Trade Reports actively fails managing. Actioning all inbound queries from Brokers, Custodian, Corporate Actions and Reconciliations department CTM broker matching APAC trades MIFID Client Commission checking checking research fee targets Charles River order management system - trade monitor, checking broker details and agreed research targets Corporate Action queries investigating more »
this is a small part of the role -Regulatory development/reg change work, with a large focus of this being around sustainability and MiFID Background of the Compliance Advisory Manager EMEA: -Strong experience in compliance within the investment management sector -Experience operating at manager or VP level -Exposure to … MiFID and UCITS would be extremely beneficial ‘Please see our website page headed (eg) ‘Privacy Notice’ for an explanation about how we use information we collect about you’. more »
