Job Description

A commodities brokerage house based in the City wish to recruit within compliance, the successful candidate will ensure that the Company’s business is conducted in an appropriate manner

Main Duties

• • Review/audit/investigation requests from Exchanges and Regulators
• • FATCA and CRS Audit and Advisory; ad hoc tax projects
• • Research in relation to keeping up to date on financial regulatory developments
• • Monitoring and problem solving with regards to MiFIR transaction reporting
• • Monitoring and problem solving with regards to EMIR reporting
• • Maintaining accurate records and data in conjunction with regulatory reporting
• • Reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting.
• • Annual and ad hoc Information Requests from Exchanges and other bodies

Experience Required

• University Graduate

• Minimum 3 years industry products (securities, futures, options etc)

• Understanding and previous involvement with EMIR and MiFIR Transaction Reporting

• (Desirable) knowledge and experience of UnaVista and Transaction/Regulatory reporting

PLEASE SEE OUR PRIVACY STATEMENT

Consultant Details

Job Summary