Position: Compliance Advisory officer

This role is for a global interbroker dealer firm that are looking for a compliance advisory officer due to expansion of the compliance department.

The duties of the role will be:

• Assist the head of advisory compliance regarding strategic direction, culture and advisory activity.
• Assist with the implementation of Mifid II & various other regulatory change events.
• Review the output of the monitoring programme and ensure that any remedial action that is necessary is carried out.
• Carry out face to face training of front office staff and as required, senior management.

Ideal background:

• Brokerage background is ideal however the client would be open to seeing CV's from candidates with an exchanges background (commodities, currencies etc), front office or investment banking.
• The ideal candidate will be coming from a background where there entire previous role was advising and not just a part of their job.

Requirements:

• Strong knowledge of relevant FCA rules
• Strong knowledge of EU directives and regulations
• Broad compliance experience, covering front office and awareness of back office, settlement and clearing systems