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Compliance Officer - MiFID II, Investment Bank

Location: CITY OF LONDON, LONDON, UNITED KINGDOM Salary: 45,000-53,000 GBP (UK Pounds) Per annum, inc Benefits
Sector: Banking Job Type: Permanent
Shift Type: N/A Applications: 5
Posted: about 2 months ago Reference: X3-502563

Compliance Officer (Investment Bank)

Salary: £45,000-£53,000

Type: Permanent

Location: City of London

The Role:

Our client is one of the largest banking groups in Europe. Built on its strong cooperative and mutual roots, with more than 140,000 employees and a presence in 49 countries, they are a responsible and responsive bank serving 52 million customers globally.

This is an exciting opportunity to join their Compliance and Financial Security department on a permanent basis. The Central Compliance team is responsible for transversal compliance and regulatory matters. The remit of the team is wide, evolving and includes (but is not limited to): regulatory projects, regulatory training and awareness, internal and external reporting, certification process, policies and procedures, control work, and data protection.

Main Responsibilities:

The associate in the Central Compliance team will undertake multiple compliance matters and will be cross- trained to assist all members of the Central team across the following areas:

  • Administration of the Senior Managers Regime Certification Regime (SMCR)
  • Maintain and report on Personal Account Dealing activities
  • Compliance Reporting / Control work
  • Trade reporting on UK stocks
  • Compliance reviews
  • Data Loss Prevention
  • Data Subject Access Requests (DSARs) 
  • Transaction Reporting
  • PRA Continuous Assessment Meetings
  • General Compliance matters


Key Requirements:

  • MiFID II transaction reporting experience is an absolute must
  • 3-5 years’ experience working in wholesale investment bank / financial services firm
  •  Understanding of FCA/PRA Rules.
  • Strong administrative skills.
  • Good interpersonal skills with strong diplomacy and tact.
  • Confident and adaptable, and possess an eye for detail.
  • Proactive, with a ‘can do’ attitude.
  • Proactive and able to initiate and run tasks, controls, reporting and mini-projects
  • Analytical skills
  • Compliance, Banking and product knowledge
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