Markets Compliance AD
Position: Associate Director - Compliance (Markets Focus)
Overview:
This role offers an opportunity to join a dynamic compliance team within a capital markets environment. The successful candidate will play a key role in ensuring regulatory adherence, conducting surveillance, and supporting the firm's governance framework across trading and operational activities.
Key Responsibilities:
- Monitor and interpret regulatory developments, assessing their implications for business operations and ensuring timely communication to relevant teams.
- Conduct trade and transaction surveillance using industry-standard platforms to detect potential market misconduct.
- Perform post-trade reviews and thematic checks to ensure compliance with internal policies and external regulations.
- Support the firm's information security protocols, including reviewing staff communications and managing access requests.
- Oversee licensing processes for regulated representatives and ensure timely renewals and updates.
- Respond to internal and external queries related to AML/KYC, personal account dealing, and other compliance matters.
- Deliver compliance training sessions and contribute to the development of internal policies and procedures.
- Participate in ad hoc reviews and projects to strengthen the compliance framework.
Ideal Candidate Profile:
- Degree-qualified in Finance, Law, Business, or a related discipline.
- At least 5 years of experience in a compliance or control function within financial services, preferably with exposure to capital markets.
- Strong knowledge of regulatory requirements, including AML/KYC and securities laws.
- Experience with trade surveillance tools (e.g., Nasdaq SMARTS) is advantageous.
- Detail-oriented with strong analytical and organizational skills.
- Proactive, collaborative, and able to manage multiple priorities effectively.
FAQs
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