Compliance Monitoring Officer - trading venue (FTC) - Investigo

New Yesterday

Job Description

 

It is a 6 months contract and will require to work in office 3 times a week. 

Responsibilities:

  • Manage and deliver compliance monitoring activities.
  • Define review scopes and testing methodologies.
  • Perform comprehensive compliance reviews across business divisions.
  • Identify and assess potential risks.
  • Draft detailed reports for management and stakeholders.
  • Monitor compliance progress and report to management.

Requirements:

  • Immediately available. 
  • Experience in wholesale, retail, or professional services firms.
  • Familiarity with regulations like COBS, CASS, SYSC, MAR, MiFID II, and others.
  • Proven experience in report writing.
Location:
London
Category:
Business