Overview Reporting to the Compliance Officer, the Compliance Analyst will be responsible for monitoring and reporting on compliance and other risks.
The role is based on the trading floor and involves working closely with traders.
The individual will preferably already have a good knowledge of the types of products traded by SIG and this is a superb opportunity for an individual to work within a true trading environment.
Job DutiesCarry out monitoring in accordance with the risk based Compliance Monitoring ProgramMonitor compliance exception reportsAssist in ensuring that the firm complies with new exchange rules and regulationsEnsure that the identities of new counterparties are being processed in accordance with the account opening and anti-money laundering proceduresMaintain and monitor the stop listCheck that procedures are followed in relation to controls around automated trading systems used by SIGMonitor that procedures are followed in relation to trading and client limitsEnsure access to trading systems is only given to traders with appropriate registrations with the various exchanges and regulatory bodiesAssist in completing themed reviews of different business areas and also delivering compliance training programme to employeesWhat we're looking forDegree in business, preferably a finance or law related discipline.
Compliance experience preferably in the financial sector would be advantageousCompliance related qualification desirable.
Knowledge Knowledge of relevant regulation and financial marketsGood knowledge of financial instrumentsHigh level of proficiency in Microsoft Office suite, particularly Excel and AccessPersonal SkillsAbility to work in a fast paced environmentStrong communicator (verbal and written) – ability to convey subject matter in a clear and concise mannerAttention to detail – thorough in work carried outEffective problem solving skills – identifies problems and propose solutionsStrong customer focusPlease note that the successful candidate will be required to successfully complete the Institute of Banker's Professional Certificate in Stockbroking.
This will be fully supported by SIG.SIG is not accepting unsolicited resumes from search firms.
All resumes submitted by search firms to any employee at SIG via-email, the Internet or directly without a valid written search agreement will be deemed the sole property of SIG, and no fee will be paid in the event the candidate is hired by SIG.