Regulatory Reporting Monitor recruitment
Aim of Post
To monitor and ensure that the Company’s business is conducted in an appropriate manner and in accordance with Financial Services and Markets Act 2000, Exchange Rules and Company Policy (collectively the ‘Regulations’)
General Description
- Responsible for accurate reporting to Exchanges and/or FSA, regarding large positions reporting and/or client identification reporting
- Responsible for accurate large trader reporting in accordance with CFTC Form102
- Responsible for maintaining accurate records and data in conjunction with regulatory reporting
- Responsible for monitoring and problem solving with regards to FSA Transaction Reporting
- To assist in Customer Complaints, where appropriate
- To assist, where necessary, with reporting of Suspicious Activity Reports and Suspicious Transaction Reports
- To assist, where necessary, with Compliance KYC Audits and other Compliance related audits
Qualifications
- Minimum 5 years industry products (Futures, FX, Equities, options etc)/ Exchange experience gained from within a Compliance/KYC/Audit environment Understanding and previous involvement with regulatory reporting, particularly a focus on Transaction Reporting.
- Good understanding of AML/KYC procedures
If you would like to apply for this position please send your CV to Rob at Anderson Red rob@andersonred.com along with a short cover letter as to why your experience is relevant for the position.
August 11, 2012
• Tags: Equities careers in the UK, Regulatory Reporting Monitor recruitment • Posted in: Financial