Senior Compliance Analyst

Senior Compliance Analyst London, England

Old Mission
Full Time London, England 30000 - 72000 GBP ANNUAL Today
Job description

Old Mission is a global proprietary trading firm that leverages state-of-the-art technology and research to identify and execute profitable trading strategies across multiple asset classes around the world. Our offices in Chicago, New York, London, and Singapore are all composed of naturally-curious individuals who thrive in a team environment and constantly strive for improvement.

Old Mission does not seek capital from outside investors, allowing us the flexibility to aggressively invest in our team members and keep them engaged in the firm's growth.

About The Position

Old Mission is a global trading firm, currently seeking an Senior Compliance Analyst to join our Compliance Team in our London office. This individual will assist the Team as a compliance "generalist", supporting all aspects of the Firm's compliance program, including surveillance, research, administration, and institutional client on-boarding.

Responsibilities:

  • On-board institutional clients and counterparties, including KYC and annual account maintenance.
  • Assist with drafting and maintenance of client policies and account disclosures.
  • Maintain and update the Firm's database of existing clients and prospective clients.
  • Manage FINRA CRD, including the Firm's BD license, individual U4 registrations, and exchange memberships.
  • Perform daily and routine surveillance reviews involving the Firm's trading activity and regulatory requirements.
  • Work with Trading and Development to ensure the Firm's compliance report suite is current and accurate.
  • Work closely with the Firm's Operations and Finance Teams to streamline processes and assist with complex projects, when required.
  • Assist with the maintenance and expansion of the Firm's Written Supervisory Procedures and related records and surveillance.
  • Review existing compliance practices against regulatory requirements and industry best practices.

Required Skills:

  • 2-5 years of relevant work experience with a trading firm, regulator, or exchange
  • Experience with the compliance administration of an institutional client business
  • Written and verbal experience facing institutional clients
  • Bachelor's degree in relevant field
  • Exceptional written and verbal communication skills
  • Outstanding organizational skills and strong attention to detail in a fast-paced environment
  • Ability to work and succeed independently as well as in a team environment
  • Experience with Microsoft Office products
  • Series 7 (or ability to obtain within 90 days of employment)

Nice to Haves:

  • Knowledge of Muni, Corporate, and Government Bond dealing
  • Extensive experience with institutional customer compliance, including onboarding and maintenance
  • Experience with Schwab Compliance Solutions
  • Experience with Smarsh or Global Relay
  • Options and/or Futures regulatory experience

Old Mission is not accepting unsolicited resumes from any staffing/search firms. All resumes submitted by staffing/search firms to any employee at Old Mission via-email, the Internet or directly without a valid signed search agreement will be deemed the sole property of Old Mission, and no fee will be paid in the event the candidate is hired by Old Mission.

Senior Compliance Analyst
Old Mission

http://www.oldmissioncapital.com
Chicago, United States
Patrick Nichols
Unknown / Non-Applicable
51 to 200 Employees
Private Practice / Firm
Investment & Asset Management
Finance
2008
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