• Senior Compliance Officer

    Location UK-London
    Date posted 3 months ago(12/12/2018 10:31 AM)
    Corporate professionals
    Position type

    ITG is looking for an experienced Compliance Officer to join our Compliance team.


    Investors around the world receive better returns because of the work we do every day. From traders to technologists and everyone in between, ITGers are passionate about innovating, solving problems and making an impact on the bottom line. Our teams set the bar high and strive to consistently provide best-in-class service to institutional investors around the world.


    An exciting opportunity to join an established Compliance department as a senior compliance officer. The role is accountable directly to the Chief Compliance Officer. The individual will be responsible for ensuring the Company is compliant with all applicable MiFID II legislation and regulatory guidelines specified by the various European regulatory and industry bodies in which the company operates.


    • Be responsible for the firm’s MiFID II regulatory compliance framework including its trading venue, POSIT MTF
    • Keep apprised of European regulatory developments and pro-actively analyse developments to determine implications for the firm
    • Evaluate, design and implement relevant controls for POSIT MTF
    • Be accountable and responsible for executing continuous monitoring obligations on POSIT MTF operations
    • Liaise with the ITG reg-ops function responsible for all POSIT MTF MiFID II reporting obligations
    • Interact directly and independently with relevant business functions to provide advice on MiFID II rules and obligations
    • Maintain and enhance the Firm’s MiFID II documentation (policies, procedures, etc.)
    • Co-ordinate and respond to regulatory enquiries
    • Co-ordinate and participate in regulatory reviews/meetings
    • Co-ordinate and respond to Client enquiries
    • Prepare and present reports to the Executive Committee and Board of Directors


    • 5 - 8 years' relevant experience working in a Compliance role
    • Knowledge of the Equity markets
    • Working knowledge and experience of MiFID II
    • Excellent document writing skills (policies, procedures, board reports, etc.)
    • Excellent organization and communication skills
    • Ability to make decisions when required and to escalate when necessary
    • Robust but flexible manner dealing with trading desks and trade support functions


    • A smaller team environment with 3-10 professionals
    • A great place for upward and geographic mobility
    • Direct exposure to the decision makers and senior leaders on all sides of the business
    • The energetic dynamism of financial markets
    • Teams that are passionate about continually learning, improving and raising the bar
    • A community that values hard work as well as work-life balance
    • A company that is committed to giving back to surrounding communities, from LA to Hong Kong and Sydney and the 11 locations in between


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