Broking Specialist (Compliance)
The company is an exceptional, medium sized regulatory and compliance consultancy with an impressive history, fantastic client base and very distinct vision and culture. They have a number of distinct market specialisms where they have a strong and expanding presence and now have an opportunity for either a mid level or senior compliance specialist to join their Broking team.
You will need significant (5 years +) experience either in industry or in an advisory or business consulting capacity to financial services institutions, in an agency stockbroking or proprietary trading environment, and will need to demonstrate:
- broad understanding of the key settlement and clearing processes (include trade and transaction reporting) for equities, bonds and derivatives;
- broad understanding of recent market developments in trading venues;
- practical understanding of the way in which the key regulatory obligations, both from a market and client perspective, are implemented by market participants.
Strong technical knowledge is required in the following areas:
- Financial Services and related regulations – significant in-depth knowledge of relevant areas of the FSA Handbook, and a good understanding of the relevant requirements of FSMA 2000, the Regulated Activities Order, other relevant secondary legislation and MiFID;
- FSA's trade and transaction reporting and transparency requirements;
- rules of the LSE, AIM and the requirements attaching to MTFs;
- the particular regulatory and compliance issues associated with the small cap market;
- detailed understanding of the Market Abuse Regime.
Undoubtedly a challenging role but the rewards match it, from the opportunity to build your skills, knowledge base and experience with different clients to the job satisfaction of being part of an expert but tight knit team who socialise and support each other to the full. You wil also receive an above average salary, benefits and bonus package,
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