Senior Capital Markets Compliance Specialist
3 days ago
As a seasoned expert in capital markets compliance, you will be responsible for ensuring the firm's adherence to regulatory requirements.
Key responsibilities include:
- Monitoring and analyzing trade surveillance alerts to identify potential breaches of market abuse regulations;
- Supporting the firm with obligations under Market Abuse Regulation (MAR) and other relevant laws and regulations;
- Providing guidance on pre- and post-trade checks for staff dealing and implementing necessary changes to ensure compliance with MiFID II and MiFIR obligations;
- Collaborating with Central Bank and FCA, Takeover Panel, Euronext, and LSE to ensure effective communication and coordination;
- Analyzing new regulations and implementing necessary changes to maintain the firm's high standards of compliance;
Requirements:
- Relevant degree in Business, Finance, Law, or equivalent; and/or audit/legal/compliance qualification;
- At least 3 years of experience working in financial services with good knowledge of regulatory requirements;
- Strong investigative instincts and analytical skills to drive compliance excellence;
- Excellent communication and information technology skills to collaborate effectively across teams;
- Desirable: Understanding of markets and trading to provide valuable insights to the team;
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