Regulatory Compliance (1 Year Maternity Cover – Possible conversion)

Key responsibilities

• Core Compliance: Monitor employee adherence to the firm’s Code of Ethics, manage conflicts of interest, and conduct reviews related to personal trading policies.
• Compliance Training and Monitoring: Implement periodic training sessions and compliance monitoring programs while assisting with ad-hoc projects and regional compliance coverage.
• Regulatory Compliance: Track new hires and visitors to ensure proper licensing, manage regulatory filings, and maintain the Register of Interests for Appointed Representatives.
• Regulatory Impact and Policy Development: Monitor regulatory changes, assess their impact on business operations, and assist in creating policies and procedures.
• Information Management: Serve as a point of contact for Material Non-Public Information (MNPI) issues, advise on research-related matters, and oversee compliance in recruitment, onboarding, and event vetting.
• Required Skills: Demonstrate strong knowledge of MAS regulations, perform routine monitoring tasks, and collaborate to address compliance issues.