About This Role
This role contributes to the effective operation of the firm according to its regulatory and internal policy requirements, as they apply across a diverse range of trading activities. You will also support the firm in achieving its forward-looking growth and development plans, gaining exposure to key aspects of compliance, regulatory monitoring, prudential compliance, policy implementation, and employee trading oversight.
Responsibilities
- Support the review and update of compliance policies and procedures
- Assist with the drafting and maintenance of training materials and employee guidance
- Support the compilation and coordination of internal compliance reports, including quarterly compliance reports and other periodic disclosures
- Ensure the safe and effective operation of Maven’s wall-crossing processes
- Assist with maintaining restricted lists and watch lists
- Work directly with trading business units to support the implementation of effective information barriers
- Support Maven’s extensive operational compliance framework, contributing to processes such as those related to personal account dealing
- Escalate potential compliance issues and contribute to documentation and reporting
- Assist the ongoing monitoring of the firm’s prudential obligations and support reporting in accordance with relevant regulatory frameworks
- Assist in the preparation and validation of regulatory filings required under UK, EU, US, and other relevant regimes
- Work with the team to ensure timely and accurate submissions
- Assist with responding to requests from regulators and counterparties, including regulatory questionnaires and due diligence enquiries
- Coordinate the tracking and completion of mandatory compliance training and attestations across the firm
Requirements
- Minimum of 2 - 3 years’ experience in a relevant legal or compliance role
- Strong attention to detail, excellent organisational skills, and the ability to manage multiple tasks according to tight deadlines
- Effective communication skills and a collaborative approach
- Eagerness to learn - full training on compliance procedures will be provided
Nice to have:
- Technical skills: Excel, SQL, Python
- Experience utilising AI in information gathering, providing advice, task automation and to improve general efficiency
Benefits
- A great environment whereby technology is key to our success
- The upside of a start-up without the associated risks
- Friendly, informal and highly rewarding culture
- A fast-growing global firm with plenty of opportunities where you will have a significant impact
