26 to 40 of 40 MiFID Jobs in London

subject to the 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 MiFID II - Staff giving information about investment products, investment services or ancillary services It is essential that you hold or are working towards one of the following list of qualifications (or 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 ❯

as it applies to proprietary trading firms as well as proven experience dealing with regulatory agencies such as the FCA, ESMA, SEC etc. Strong knowledge of UK FSMA, EU MiFiD or similar tradfi and digital asset regulatory regimes. Expertise in responding to, handling and managing regulatory enquiries, document requests and commercial disputes, advising senior stakeholders on and mitigating regulatory and More ❯

working collaboratively to resolve them efficiently. Support process mapping initiatives by analysing current workflows and recommending optimisations that enhance efficiency and accuracy. Ensure compliance with relevant regulations such as MIFID by correctly categorising payment types and maintaining robust audit trails. Participate in continuous improvement efforts by sharing insights gained from hands-on experience with data validation and system integration. If More ❯

can be enhanced. You’ll possess a detailed knowledge and proven experience of the commercial application of UK regulatory requirements for investment products, particularly funds, and an understanding of MiFID and CASS rules. You’ll also have extensive experience of overseeing retail funds, monitoring and conducting periodic reviews to ensure they’re working as planned as well as significant experience More ❯

can be enhanced. You’ll possess a detailed knowledge and proven experience of the commercial application of UK regulatory requirements for investment products, particularly funds, and an understanding of MiFID and CASS rules. You’ll also have extensive experience of overseeing retail funds, monitoring and conducting periodic reviews to ensure they’re working as planned as well as significant experience More ❯

and waterfall methodologies. Collaborate with stakeholders across Japan, EMEA, and the Americas to align project goals and execution. Ensure solutions meet business needs, quality standards, and regulatory requirements (e.g., MiFID II). Provide operational support and incident response as needed, without compromising strategic initiatives. Qualifications Proficiency in both Japanese and English for effective stakeholder communication. Significant experience in IT within … systems . Proven project management skills with experience in Agile and waterfall methodologies. Experience in delivering full development lifecycles and building scalable infrastructure. Familiarity with regulatory frameworks such as MiFID II. Experience in cross-regional collaboration and stakeholder management. Strong analytical, problem-solving, and communication skills. Ability to manage multiple priorities in a fast-paced, multicultural environment. High level of More ❯

Expert in one or more of the regulations (Large Holdings, SEC Bond Requests, POTAM, Short Selling, Issuer Holdings requests, AIFMD, Solvency II, GroMiKV, CRR, AIFMD, FTK, COVIP, VAG, Solva, MIFID II cost and charges, PRIIPS, LGPS, EMIR, MIFID II trade and transaction reporting). Research, monitor and assess the impact of business changes and regulatory change on selected areas of More ❯

fintech, financial services, investment or similar products. Experience working and leading with cross-functional, globally located teams. Familiarity with UK/EU regulatory regimes applicable to financial instruments (including MiFID, EMIR, AIFMD) and crypto assets (e.g. MiCA, AMLD). Comfortable challenging the status quo and preconceived notions of what is possible; confidence giving advice on novel products in areas of … license applications for spot and derivatives expansion in major jurisdictions. Experience analyzing the regulatory status of crypto assets and whether they may qualify as regulated financial instruments (e.g. under MiFID). Experience of advising on cross-border licensing requirements, safe-harbors and creating client classification procedures. Strong negotiation skills and ability to review and negotiate financial agreements (e.g. prime brokerage More ❯

colleagues which stems from our core values: Confident, Dedicated, Responsible, Genuine. We are hiring a experienced Regulatory Reporting Operations Consultant is sought to provide expert support for EMIR and MiFID compliance. This role requires comprehensive understanding and proficiency in regulatory reporting operations, highlighting analytical skills and attention to detail critical for managing reporting exceptions effectively. Main Responsibilities: In this role … exceptions and discrepancies in regulatory reports. Conduct thorough investigations to identify root causes of reporting errors. Collaborate with internal teams to streamline reporting processes. Ensure compliance with EMIR and MiFID regulations. Prepare comprehensive reports for internal stakeholders. Monitor evolving regulatory requirements and implement adjustments as needed. Must Haves: Proven experience in regulatory reporting, specifically EMIR and MiFID. Strong analytical skills More ❯

Regulatory Reporting Analyst - MIFID/EMIR/SFTR - Operations/BAU Reference ID: 8805 Budget: 65,000 Role Overview: We are seeking a Regulatory Reporting Analyst to join a leading financial services firm. You will be responsible for ensuring that all regulatory reports are submitted accurately and on time, addressing reporting corrections promptly, and responding to customer queries efficiently. The … role also involves producing Management Information (MI) reports and contributing to the enhancement of internal controls. Experience & Skills: Proven experience in Regulatory Reporting Knowledge of MIFID, EMIR, or SFTR reporting regulations Operations/BAU experience Understanding of internal controls About Kite Human Capital: We focus on working with top talent who value customer service and uphold a strong professional reputation. More ❯

Location: London Salary: £70,000 - 75,000 per annum Email: Ref: db3485 We are seeking candidates with experience in Transaction/Trade Reporting, including: Take Over and Mergers Reporting MiFID Transaction Reporting Shareholder Reporting Issuer Holding Requests Short Selling Reporting Knowledge of regulations such as MiFID, EMIR, AIFMD, and the Transparency Directive The role involves implementing transaction reporting procedures in More ❯

line Client Service and Operational Support to our EMEA clients. As Team Lead, this individual will act in a senior capacity to ensure participants, trading operations, technical onboarding and MiFID II requirements are met. Additionally, the Lead will focus on trading system functionalities, global trading protocols, client satisfaction, client account services, automation and individual and team development. How You'll … related issues - Booking, Price Calculations, STP and FIX related queries Additional user setups & permission changes for previously on boarded participants Platform Post-Trade queries e.g., PII - in line with MiFID II, Allocations and Fund accounts Support production inquiries/test trades New platform release and sanity checks Act as oversight for EMEA Client Due Diligence workflow Work with key stakeholders … client facing and management exposure Knowledge of MarketAxess, e-trading platforms and the fixed income trade life cycle preferred Comprehensive understanding of the regulatory landscape, with specific experience within MiFID II Proficient excel skills, with exposure to Macro/VBA Excellent communication skills with the ability to articulate concisely to Senior Management, and client base Excellent interpersonal skills, with the More ❯

deep familiarity with how EMEA-based institutional investors use macroeconomic research to drive allocation decisions. Tailor pitches to align with region-specific investment strategies and regulatory contexts (e.g., SFDR, MiFID II). Attend EMEA-focused conferences, webinars, and in-person events to cultivate relationships and opportunities. Internal Collaboration Work closely with Alpine's economists and senior leadership to guide client … deep familiarity with how EMEA-based institutional investors use macroeconomic research to drive allocation decisions. Tailor pitches to align with region-specific investment strategies and regulatory contexts (e.g., SFDR, MiFID II). Attend EMEA-focused conferences, webinars, and in-person events to cultivate relationships and opportunities. Internal Collaboration Work closely with Alpine's economists and senior leadership to guide client 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 ❯