Compliance Officer (Trade & Transaction Regulatory Reporting)

London - UK

Salary: Not Disclosed

Experience Required: 1-3years

Posted on: 4 hours ago

Vacancies: 1 Vacancy

Job Summary

Compliance Officer (Trade & Transaction Regulatory Reporting)

Start Date: ASAP for 6 months initially could potentially extend

Location: Central London Hybrid

Working Hours: Monday to Friday 9am to 5.30pm

We are currently looking for an experienced Compliance Officer with at least 2 years Trade and Transaction Regulatory reporting experience (ideally within your field of expertise) within at least one of the key regulations listed below:-

UK/EU Regulations:

MIFID Article 26 (Transaction Reporting)

EMIR Article 9 (Trade Reporting)

Securities Financing Transactions Regulation (SFTR Reporting)

North American Regulations:

CFTC (Part 43/45)

Securities Based Swap Dealer Reporting (SEC 901/902)

APAC Regulations:

MAS

HKMA

ASIC

Responsibilities

Regulatory change horizon scanning

Regulatory publications review interpretation and documentation

Stakeholder involvement within regulatory change projects

Providing regulatory technical advisory and guidance to internal stakeholders (mainly Regulatory Operations).

Checking and challenging the first line

Documenting/reviewing regulatory communications such as FCA Errors and Omissions Forms.

Documenting/reviewing Compliance Risk Assessments

Compliance Officer (Trade & Transaction Regulatory Reporting)Start Date: ASAP for 6 months initially could potentially extendLocation: Central London HybridWorking Hours: Monday to Friday 9am to 5.30pmWe are currently looking for an experienced Compliance Officer with at least 2 years Trade and Tra...