Responsibilities:
1. Perform pre-trade and post-trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.
2. Work with CRO to maintain a compliance culture within the business.
3. Evolve the framework of compliance monitoring and carry out compliance monitoring activities to include call reviews, file reviews, and thematic reviews based on risk assessment.
4. Handle staff dealing approval, monitoring, and review staff dealing-related reports.
5. Support disclosures of interest and other regulatory reporting and filing for the company.
6. Support licensing related matters and other regulatory filing and liaise with UK and EU regulators on their inquiries.
7. Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance.
8. Assist in other tasks assigned and ad-hoc projects including due diligence checks.
9. Review current/future regulatory changes and provide recommendations to the business on likely impact.
Skills desired:
* Minimum 3 years' experience in handling compliance matters; experience with algorithmic trading is preferred.
* Familiarity with Bloomberg is useful.
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