A futures brokerage based in the City wish to recruit within compliance, the successful candidate will ensure that the Company's business is conducted in an appropriate manner
Main Duties
- • Review/audit/investigation requests from Exchanges and Regulators
- • FATCA and CRS Audit and Advisory; ad hoc tax projects
- • Research in relation to keeping up to date on financial regulatory developments
- • Monitoring and problem solving with regards to MiFIR transaction reporting
- • Monitoring and problem solving with regards to EMIR reporting
- • Maintaining accurate records and data in conjunction with regulatory reporting
- • Reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting.
- • Annual and ad hoc Information Requests from Exchanges and other bodies
Experience Required
- University Graduate
- Minimum 3 years industry products (securities, futures, options etc)
- Understanding and previous involvement with EMIR and MiFIR Transaction Reporting
- (Desirable) knowledge and experience of UnaVista and Transaction/Regulatory reporting