Compliance Associate | London, UK | Hybrid

Eximius Finance; London; On-site; GBP 100,000 - 125,000

Job description

The role is a generalist compliance role with a focus on the trading side of the business, reporting to the Head of Compliance. The successful candidate will be part of a team of three who are responsible for ensuring that the company has the appropriate controls and procedures in place to ensure compliance with the UK and EU regulatory and legislative regime applicable to the activities of the company, and all applicable company policies and procedures. Previous market abuse surveillance experience is essential.

The successful applicant will need to be proactive, with an interest in the regulatory environment:

1. Provide compliance advice to the business with a focus on execution services. Knowledge of MAR, transaction reporting, trade reporting, and CASS required.
2. Conduct daily market abuse surveillance of automated alerts and escalate potential risks or concerns as appropriate.
3. Draft and submit STORs.
4. Investigate and manage responses to ad hoc regulatory or exchange queries.
5. Assist in the interpretation and implementation of new regulation or guidance and update policies and procedures as required.
6. Understanding of Takeover panel reporting requirements is preferable.
7. Undertake monitoring of business and staff activities for both the research and trading sides of the business as outlined in the compliance monitoring programme.
8. Deliver induction training sessions and develop ad hoc training for different departments within the firm.
9. Depending on experience, the candidate will also be responsible for:
   1. KYC and AML checks
   2. SMCR processes including SMF Applications and Certification

Key Skills and Experience Required

1. In the region of 5 years’ experience in a compliance function ideally from an equities/stockbroking background with a professional client-base. Candidates with less than 5 years’ experience with highly relevant experience will also be considered.
2. Previous experience of providing advice on regulatory reporting and market abuse matters.
3. Passed relevant CISI examinations (preferred) or be willing to do so.