The successful applicant will need to be proactive, with an interest in the regulatory environment:
*Provide compliance advice to the business with a focus on execution services. Knowledge of MAR, transaction reporting, trade reporting, and CASS required.
*Conduct daily market abuse surveillance of automated alerts and escalate potential risks or concerns as appropriate.
*Drafting and submission of STORs.
*Investigate and manage responses to ad hoc regulatory or exchange queries.
*Assist in the interpretation and implementation of new regulation or guidance and update policies and procedures as required.
*Understanding of Takeover panel reporting requirements is preferrable.
*Undertake monitoring of business and staff activities for both the research and trading sides of the business as outlined in the compliance monitoring programme.
*Deliver induction training sessions and develop ad hoc training for different departments within the firm.
*Depending on experience the candidate will also be responsible for: *KYC and AML checks
*SMCR processes including SMF Applications and Certification

Key Skills and Experience Required
*In the region of 5 years’ experience in a compliance function ideally from an equities/stockbroking background with a professional client-base. Candidates with less than 5 years’ experience with highly relevant experience will also be considered.
*Previous experience of providing advice on regulatory reporting, and market abuse matters.
*Passed relevant CISI examinations (preferred) or be willing to do so.