Compliance and Legal Officer

  • Location

    London, England

  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:

    £50000 - £60000 per annum

  • Contact:

    Bethany Singer

  • Job ref:


  • Published:

    3 months ago

Our client, a Financial Services company based in the Docklands are looking for a Legal & Compliance Officer to join their expanding London office. You will report into the Compliance Manager who holds the CF10 function and be seen as their deputy.

Main responsibilities will include;

  • To be responsible for policy development and monitoring
  • To monitor changes to legislation and regulatory rules affecting the company by conducting legal research and implementing process and procedures to ensure that the company is fully compliant
  • To ensure that senior management are up to date with the most recent regulatory requirements
  • To review and maintain policies and procedures relating to the areas within HR and Compliance
  • To manage and understand exchange rules and ensure company is compliant
  • To work closely with the front office, processing various requests
  • To manage the whole counterparty on-boarding process, including performing KYC checks, obtaining relevant documents, conducting due diligence, reviewing relevant commercial contracts and counterparty agreements
  • To ensure that all records, both paper and electronic, are maintained to a high standard

To be considered for this position, ideal candidates must have the following experience & skills;

  • Graduate, preferably from a legal background
  • Compliance experience in a small to medium sized trading firm is a plus. Must have knowledge and experience in MiFID II and MAR.
  • The ability to be flexible and move quickly between different tasks
  • Having analytical mind
  • Being well organised and able to prioritise effectively
  • Having good verbal and written communication abilities
  • Being able to stay calm under stressful circumstances
  • Being self-motivated, proactive and initiative
  • Quick learner; ability to gain new skills and acquire knowledge rapidly

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