• Compliance Associate - Trade Surveillance | London, UK | Hybrid
  • Goodman Masson in London, , United Kingdom
  • jobs
  • 2 weeks ago

jobs description

Goodman Masson have partnered with an Investment Expert in the hire for a Compliance Associate - Trade Surveillance on a permanent basis.


Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.

Work with CRO to maintain a compliance culture within the business.

Evolving the framework of compliance monitoring and carrying out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment.

Handle staff dealing approval, monitoring and review staff dealing-related reports

Support disclosures of interest and other regulatory reporting and filing for the company.

Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.

Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance

Assist in other tasks assigned and... ad-hoc projects including due diligence checks.

Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.

Skills desired:
• Minimum 3 years' experience in handling compliance matters, experience with algorithmic trading is preferred
• Familiarity with Bloomberg useful

If interested, please apply below. Alternatively, please email [email protected]

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you
London UK


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