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 »
I'm working with a leading financial services firm, who are looking for a Senior Buisness Analyst with detailed understanding of regulatory reporting requirements across UK and EU Jurisdictions, such as but not limited to : MiFID2, EMIR, Dodd Frank & MAS. more »
Office, Operations functions, Trade Life Cycle (Pre-Trade/Post Trade processing), Securities Processing, Collateral Management etc.Experience of working on large regulatory remediation programmes (MiFID, Brexit, FRTB, EMIR etc.)Knowledge of the UK and European financial regulatory environmentKnowledge of ESG regulations and understanding of how they impact operating models, risks more »
to include trade support, confirmation, and settlement of Equity, Fixed Income, and Derivative Trades. In this role, you will also gain exposure to EMIR & MIFID trade and transaction regulatory reporting. This opportunity is truly exciting for candidates with at least 12 months of trade settlement experience. It offers a chance more »
utilisation and make applications for limit renewal and increases. Execution of FX, MM, Bond and IRS/CCS deals via dealing platforms, with subsequent MiFiD II reporting where appropriate. Assist in managing the Bond Investment portfolio; sourcing new issuers, new issues and maintaining Bond counterparty relationships. Prepare daily trades for more »
key risk and control processes to ensure compliance with non-financial regulatory reporting obligations Develop extensive subject matter expertise in major European regulations (eg. MIFID, EMIR, SFTR, FMIA, EBA) Consult on business and functional projects to facilitate compliant commercial activity Own client relationships with a focus on excellent client regulatory more »
bankingRetail bankingCredit CardsPaymentsDigital (e.g. online banking, mobile app) and Non-Digital (e.g. contact centre) Banking ChannelsBanking Regulation (e.g. PSRs, PSD2, Open Banking, MiFIR/MiFID, GDPR, Sanctions and Anti-Money Laundering Act).Knowledge of the typical end-to-end banking architecture, key systems and key challenges from both regulation and more »
Monitoring Substantial operations, conduct and governance understanding and exposure In depth knowledge of audit methodologies Strong working knowledge of UK and EU regulation (e.g. MiFID II, EMIR, PSD2, SFTR) and key areas of regulatory focus from the FCA/PRA/EBA Working knowledge of Markets (e.g. FX, Securities Finance more »
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 »
risk. Highly organized and able to effectively manage their time to adhere to deadlines. Demonstrates highest ethical standards. Familiarity with relevant regulatory frameworks including MiFID II. Our benefits To help you stay energized, engaged and inspired, we offer a wide range of employee benefits including: retirement investment and tools designed more »
thresholds, approval process for changing limits and thresholds, as well as the escalation protocol for breaches Coordinate other key control processes such as Annual MIFID Self-Assessment, Annual Mandatory E-trading Controls Review, Material Change Review, Quarterly MCA E-Trading Controls Review, Procedure documentation and refresh, Dispensation and Waivers Documentation more »
regulatory authority, or relevant experience within a major law firm. Strong familiarity with European regulatory frameworks (AMLD5/VASP, PSD2, 2EMD and/or MiFID II, MiCA) and broader financial services regulations. Experience advising multi-national organizations on complex global matters, commercial transactions, and partnering with compliance, risk and other more »
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/issues … 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 instrumentsin an investment bank - Have the ability to challenge more »
Supporting clients with regulatory change across impact assessments, implementation support, remediation, control framework & architecture assessments and regtech implementation focused on trade & transaction reporting (e.g. MiFID, EMIR, CSDR, SFTR, HKMA, MAS, CFTC etc)Compliance within regulatory obligations against tight deadlinesOperating model reviews to assess positioning relative to market and cost optimisation … and an ability to articulate these by way of opportunities for consulting firms to support the industry.Experience in delivery trade & transaction reporting changes (e.g. MiFID, EMIR, CSDR, SFTR, HKMA, MAS, CFTC etc)Experience gained in either consulting or industry with exposure to shaping and delivering significant programmes. Key areas of more »
the right mix of consulting and client management experience as well as having an entrepreneurial spirit. You will have experience working within Compliance and MiFID regulations. As an experienced Managing Consultant, you will have: Proven Consulting experience or alternatively in Project Management or Business Analysis within Financial Services. Change management more »
requirements and review testing results. What we are looking for: You will have transaction reporting experience under at least one of these regulations (EMIR, MIFID/MIFIR, SFTR, Dodd Frank, ASIC, MAS, HKTR, and JFSA) You will have effective written, verbal and interpersonal communication skills You have the ability to more »
and a brilliant opportunity within a really supportive team. The following skills/experience is essential: Strong Trade Reporting background Strong Middle Office background MIFID Product knowledge to include Debt, Equity and OTC Derivatives. Understanding of Jira Excellent communication skills Salary: Circa £70,000 + bonus + package Location: London more »
and Financial Services experience - Working knowledge and project/project experience with Market Risk, Credit Risk and Trade Surveillance - Position Limit Monitoring experience (Exchange, MiFID and CFTC0 - Understanding of data systems and large data sets - Data tools and languages knowledge (SQL, PowerBi, SSAS and Powershell) For more information and a 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 »
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 »
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
