176 to 200 of 200 MiFID Jobs in London

conduct compliance training Review and approve financial promotions Conduct thematic reviews and gap analyses; and Provide compliance advice and respond to queries COMPETENCIES Strong Knowledge and understanding of AIFMD, MiFID II and the FCA Handbook but also UCITS/COLL is desirable Knowledge of US Investment Company Act 1940 and SEC regulation for registered investment advisers – experience working at SEC More ❯

Create training materials and deliver compliance training. Review and approve financial promotions. Conduct thematic reviews and gap analyses. Provide compliance advice and handle queries. Competencies: Strong knowledge of AIFMD, MiFID II, FCA Handbook; UCITS/COLL knowledge is a plus. Understanding of US Investment Company Act 1940 and SEC regulations; experience with SEC-registered advisers is desirable. Experience with compliance More ❯

dynamics What You’ll Bring: Background in advice proposition, financial planning, or product ownership Technical understanding of wealth management products (pensions, ISAs, bonds, protection) Strong knowledge of Consumer Duty, MiFID, COLL, and related FCA frameworks Excellent communication and stakeholder engagement skills Prior experience in a private bank or large national wealth manager is desirable Benefits Include: Private medical cover (incl. More ❯

development experience including CI/CD, source code control, testing, and quality management. You have a strong background in producing complex regulatory reports for the financial industry, including EMIR, MiFID, SFTR, CPR, and K-Factor reports. You are highly proficient in Python, SQL, database design, and have experience working with data warehouses like Snowflake to generate complex solutions at scale. More ❯

regulatory experience gained in the fintech industry, reputable law firms or financial institutions Sound knowledge of the global financial services regulatory environment, particularly payment regulations and, ideally, familiarity with MiFID, Experience managing an international compliance function, including people management Demonstrated experience working cross-functionally or in a matrix organisation Experience engaging with the global regulators across Asia, The UK and More ❯

Trade Booking process and Regulatory Trade Reporting, including detailed experience in a BAU or a change role focused on at least one of EMIR, ASIC, MAS, or MiFIR/MiFID II relevantto trade and transaction reporting An understanding of the competitive landscape in Trade Reporting along with associated technology and trends is beneficial Leadership Competencies for this level include Strategic More ❯

Trade Booking process and Regulatory Trade Reporting, including detailed experience in a BAU or a change role focused on at least one of EMIR, ASIC, MAS, or MiFIR/MiFID II relevantto trade and transaction reporting An understanding of the competitive landscape in Trade Reporting along with associated technology and trends is beneficial Leadership Competencies for this level include Strategic More ❯

developing presentation materials for relevant governance committees. Key Requirements: Strong compliance experience in a monitoring focused role Previously worked within a bank, investment firm or trading venue Understanding of MiFID/MiFIR and the FCA handbook Able to start within a month Please reach out to Nicole Poole at npoole@danosconsulting.com to learn more about this opportunity. Seniority level Seniority More ❯

relevant Senior Manager and Certification Regime Rules set by the FCA. This role will perform the following certified functions: Certification - Client Dealing - CD0 Meeting with Clients. Certification - Cert Manager. MiFID II - Staff giving information about investment products, investment services or ancillary services It is essential that you hold or are working towards the following list of qualifications (or equivalent). More ❯

typically deliver high-risk, high-profile and time-constrained projects in less time than competitors, often significantly so. Digiterre has won at least ten different industry awards including Best MiFID II Solution – Trade and Transaction Reporting awarded by HFM European Hedge Fund Services. Our working culture is highly collaborative, consultative, and respectful. We fully understand our client’s needs as More ❯

plus years of business analysis experience in an Investment Bank (or consulting within an Investment Bank) Experience of delivering regulatory projects (and in particular Transaction Reporting within MiFID) would be an advantage. Ability to build relationships across a global organization, build trust and influence internal and external stakeholders Strong communication skills (English at a minimum), both written and verbal If More ❯

plus years of business analysis experience in an Investment Bank (or consulting within an Investment Bank) Experience of delivering regulatory projects (and in particular Transaction Reporting within MiFID) would be an advantage. Ability to build relationships across a global organization, build trust and influence internal and external stakeholders Strong communication skills (English at a minimum), both written and verbal If More ❯

plus years of business analysis experience in an Investment Bank (or consulting within an Investment Bank) Experience of delivering regulatory projects (and in particular Transaction Reporting within MiFID) would be an advantage. Ability to build relationships across a global organization, build trust and influence internal and external stakeholders Strong communication skills (English at a minimum), both written and verbal If More ❯

needed Demonstrates deep knowledge of products/flows within the businesses they support Articulates broader business concerns and/or regulatory landscape, including key risks and controls (e.g., GDPR, MIFID, SOX) Makes decisions that are cognizant of the firm’s broader business strategy Can articulate business needs and translate them into technology solutions Mentors other team members Participates in interviews More ❯

SIP trunks, gateways). Expertise across Microsoft Teams Voice ecosystem: Operator Connect, Direct Routing, Microsoft Calling Plans, Teams Phone System. Familiarity with regulatory requirements and integrations (e.g., PCI-DSS, MiFID II, call recording, CRM, etc.) Experience in producing customer-facing consulting artefacts with a high standard of technical depth and executive relevance. Excellent stakeholder engagement and communication skills. Microsoft More ❯

following criteria: Minimum of 5 years' experience within asset management Proven background within a Trade Support or as Middle Office Analyst Working knowledge of key industry regulations, such as MiFID II Ability to manage stakeholders across all levels of seniority Strong MS Office skills, particularly Excel (including VBA) and business flow mapping This is an exciting opportunity for buy-side More ❯

internal stakeholders, including Technology, Operations, Compliance, and regulatory/control partners. Required Qualifications, Capabilities, and Skills In-depth understanding of the global Futures & Options market structure, including exchanges, regulations (MiFID II, CFTC), and clearing processes. Expertise in electronic trading, including leading Futures & Options ISVs, vendor EMS products, client connectivity solutions, FIX Protocol, and algorithmic trading. Understanding of technology systems and More ❯

fund ranges, including: Fund Factsheet and commentary documents UCITS KIIDs and PRIIPS KIDs Solvency II TPT Regulatory data templates including EMT, EPT, and EET Costs and Charges reporting including MiFID II ex-post reporting, CTI, and DCPT templates. Work closely with client stakeholders including Oversight teams, fund ManCos, and Compliance. Oversee service delivery from vendors and support quarterly service reviews. … relationships with stakeholders, and consistently deliver high-quality work with a detailed methodical approach. Detailed knowledge of global securities, investment strategies, market data, and funds. Knowledge of Solvency II, MiFID II EMT, PRIIPs EPT, CTI. Experience of Morningstar Publishing Service or equivalent systems would be advantageous. BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic More ❯

DSS Activities: Leading Ctrl Alt through the application process of Gate 2 to enable the firm to test tokenization structures within the Sandbox; FCA Authorisation: Leading Ctrl Alt's MiFID authorisation process by being the primary contact for the FCA and where required, outside counsel. You will be responsible for engaging relevant stakeholders through the FCA authorisation process, preparing the … the FCA are met. Manage other conduct and compliance risks. Requirements Must Haves 5 - 7 years working in a regulated firm in a senior Compliance role or MLRO role; MiFID experience is considered an advantage; Significant experience in all aspects of UK compliance standards, AML/CTF/FS including customer onboarding, KYC refresh, customer risk assessments, business wide risk More ❯

of UK and EU regulatory frameworks including prudential, conduct, operational resilience, and emerging ESG expectations. Experience advising on or facilitating projects involving ICAAP/ICARA, Basel frameworks, MIFIDPRU, MAR, MiFID II, or operational risk and resilience. Why Join Projective Group? Be part of a consultancy that invests in people with a generous training allowance, stock options, bonuses, top-tier coaching More ❯

typically deliver high-risk, high-profile and time-constrained projects in less time than competitors, often significantly so. Digiterre has won at least ten different industry awards including Best MiFID II Solution – Trade and Transaction Reporting awarded by HFM European Hedge Fund Services. Our working culture is highly collaborative, consultative, and respectful. We fully understand our client’s needs as More ❯

and organise meetings (internal, external and virtual) with corporations around the world Manage relationships with external sell-side research providers Develop and implement the firm’s research process under MiFID II Review corporate access activity by the team to ensure it is MiFID II compliant at all times Build strong relationships with internal senior management Liaise with Legal & Compliance to … Candidate Requirements: Relevant experience in a similar role on the buy-side or sell-side Commercial awareness of the asset management industry Ideally good understanding of the regulatory framework (MiFID II, FCA) governing the procurement and payment of external research Excellent communication skills and the ability to build strong working relationships with senior management and investment staff Enthusiastic, pro-active More ❯

the regular strategic data vendor calls. Take on the RFP ownership for content where the Fund Business Team acts as Subject Matter Expert. Oversee the production and dissemination of MiFID, PRIIPS and other transparency reporting templates. Coordination of the Key Investor Information Document (KIID) production. Review Distribution Agreements and Platform Service Level Agreements from an operational perspective. Implement and manage More ❯

What We're Looking For 4+ years of experience in a Compliance role overseeing investment products Strong knowledge of UK regulations regarding investment products, especially knowledge of CASS and MiFID regulatory requirements (knowledge of EU regulations in this area would also be advantageous) Experience with wealth products like ISA (Cash-ISA, S&S ISA) mutual funds and SIPP Knowledge of More ❯

transactions, custody, and transitions. The ideal candidate for this role will possess the following skillset : Proficient in client onboarding procedures, with expertise in KYC/AML/CFT regulations, MIFID, EU Directives, and global tax reporting. Minimum of 2 years’ experience in a similar role, demonstrating sound knowledge of asset management company structures. Preferred experience in private client portfolio administration More ❯