senior Compliance officer

General Information

• Job Title: Senior Compliance Officer
• Hiring Department/Group: Quantitative Trading Compliance
• Office Location: London
  
  

• Assist in the management and maintenance of the Firm’s compliance program, including MiFID II, MAR and other relevant regulatory frameworks
• Work with the MiFID II Committee and across departments to identify and confirm requirements under RTS-6
• Assist with reviewing and finalizing the annual RTS-6 self-assessment
• Monitor regulatory changes, updates and industry-wide compliance initiatives
• Provide status updates to senior team members on the Firm’s compliance program
• Conduct compliance reviews of Algorithmic Trading Groups, including ownership of the initial vetting and ongoing review processes of Algorithmic Trading Groups against the Firm’s Algorithmic Trading Policy
• Assist with surveillance design and investigation of relevant alerts, as necessary
• Assist with regulatory examinations, inquiries, investigations and projects, as necessary
• Assist with drafting and amending compliance-related policies and procedures, as necessary
• Prepare and conduct compliance trainings
• Provide guidance to Algorithmic Trading Groups and additional staff on compliance matters, including regulatory developments and internal policies
  
  

• 8+ years of experience in algorithmic compliance advisory
• Experience at a regulatory authority, bank/broker or buy-side firm
• Proven ability to manage relationships with regulators and handle regulatory inquiries or audits
• Strong understanding of MiFID II, RTS-6 and algorithmic trading rules across EU/UK venues
• Strong understanding of model-based trading and investment/execution algorithms
• Bachelor’s degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred
• An understanding of global financial markets, including market structure, is preferred
• Strong analytical / conceptual problem-solving skills with attention to detail
• Strong sense of ownership and personal responsibility
• Ability to prioritize, multi-task, and manage deadlines while successfully completing assignments
• Strong written and verbal communication skills, as well as the ability to coordinate efforts and projects across teams and departments
• Ability to prepare presentation materials for senior management
• Proficiency in Microsoft PowerPoint and Excel
• Good team player with a strong willingness to participate and help others