Compliance Monitoring Specialist

The primary objective of the role will be to assist in the execution and ongoing improvement of the Compliance Monitoring Programme as well as to act as a Compliance generalist and provide ad-hoc support to the wider business.Key ResponsibilitiesAssist the Compliance Officer in designing/improving the Compliance Monitoring Programme framework and carry out the majority of 2LOD monitoring procedures including written findings reports;Assist in the completion of trade surveillance (primarily market abuse), best execution monitoring, and AML transaction monitoring;Provide advice and assistance to front office staff in resolving compliance and regulatory issues arising from sales and trading activities;Resolve trading issues and complaints to the satisfaction of both the Company and clients in compliance with regulatory obligations;Reviewing and updating existing policies/procedure documents and drafting new policies in line with regulatory requirements;Participation in the delivery of the firm’s training programmePerform ad-hoc governance duties as required;Develop a deep understanding for the financial markets, keeping abreast of news and trends to understand and identify how changes may impact the Company or its regulatory reporting requirement and;Relevant coding and/or excel skills to provide analysis over large data setsRequired Skills and KnowledgeStrong academic background1-2 years compliance generalist experienceAdept at building relationships with a multitude of different stakeholders and convey information in a concise, understandable mannerHighly analytical with strong attention to detailProactive, resourceful with robust problem-solving skillsStrong Microsoft Excel skills