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MIFID Compliance Officer Associate – Investment Bank

Location: CITY OF LONDON, LONDON, UNITED KINGDOM Salary: 36,000-53,000 GBP (UK Pounds) Per annum, inc Benefits
Sector: Banking Job Type: Permanent
Shift Type: N/A Applications: 3
Posted: about 2 months ago Reference: X3-500380

 MIFID Compliance Officer Associate – Investment Bank
An Award-Winning Investment Bank in the City Of London have an opportunity for a MIFID Compliance Officer paying between £36000 - £53000 + Bonus + Excellent Benefits

The Bank 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 the Group is a responsible and responsive bank serving 52 million customers globally. The Group also stands out for its dynamic, innovative corporate social responsibility policies. This policy is based on a pragmatic approach which permeates across the Group and engages each employee.


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.

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. The individual should have strong administrative, organisational and communication skills and demonstrate a ‘can do’ attitude and good team spirit. On the job training will be provided but it is important that the individual is flexible, proactive and able to learn swiftly.

Key Responsibilities

1. Administration of the Senior Managers Regime Certification Regime (SMCR)

2. Maintain and report on Personal Account Dealing activities

3. Compliance Reporting / Control work

4. Trade reporting on UK stocks

5. Compliance reviews

6. Data Loss Prevention

7. Data Subject Access Requests (DSARs)

8. PRA Continuous Assessment Meetings

9. General Compliance matters
Experience / skills required :
• MIFID knowledge essential
• Previous experience at a wholesale investment bank / financial services firm
• Understanding of FCA/PRA Rules.
• General Compliance training
• 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.
• Ability to work well independently or as part of a team.
• Energy and tenacity to work well under pressure to deadlines.
Competencies Required:
• Proactive and able to initiate and run tasks, controls, reporting and mini-projects
• IT literacy (MS Office, databases etc).
• Regulatory awareness including working knowledge of FCA MIFIDII Transaction Reporting rules.
• Project management.
• Analytical skills
• Compliance, Banking and product knowledge
If you are MIFID Compliance officer looking for your next role, please do apply

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