Job Description
Currently recruiting for a well established trading firm for a compliance manager
FCA registrations.
Interactions with various trading exchanges.
Trade Surveillance monitoring
Assisting with Training, PA dealing and G&E register.
Assist with preparing MI and reports for senior managements
Testing of the Compliance monitoring Plan
* Help monitor PA dealing including reviewing statements and distributing attestations.
* Provide compliance training.
* Help complete regulatory returns on behalf of
* Assist with enquires from exchanges and regulators.
* Assist in continuously reviewing/tailoring /improving policies, procures and the compliance manual.