Compliance Officer

SOVA Capital Limited is an FCA authorised and regulated broker based in London. We offer institutional and corporate clients a full range of investment brokerage services, including independent research, securities trading, electronic and high-touch execution and public capital markets financing.

Now we're looking to recruit a Compliance Officer on a full time, permanent basis to join the existing international team.

General requirements:

• At least 3 - 5 years of compliance or internal audit experience preferably gained with global banks, incl. Russian subsidiaries of such.
• Good understanding of key compliance concepts contained in the Russian laws and regulations e.g. financial promotions, cross-border activities and licensing permissions, counteracting bribery and corruption. Knowledge of main EU directive such as MIFID II, MAR, TD, UK and US anti-bribery acts. Knowledge of UK regulations in the areas below would be an advantage.
• Excellent command in English. Good communication and presentation skills.

Areas of knowledge/functions:

Control Room and Inside information handling

Day-to-day review of matters referred to the Control room such as conflict clearance and wall-crossing requests, maintenance of the firm’s control lists (under EU standards); maintenance of the various logs of the Control room. Provision of advice on the related topics.

Other core compliance activities

• Anti-bribery and corruption - Handling the suppliers’ review and approval process; review and optimization of the respective processes.
• Large holdings monitoring and notifications - To handle the monitoring and notifications on large (major) holdings of voting rights, including those vested in securities of foreign issuers. Handling relevant notifications to regulators & issuers.
• Sanctions - Assistance with/participation in sanctions related assessments and alerts handling.
• Training - Provision of training on Control Room related topics, as well as compliance inductions and other general or specific trainings.
• Compliance advice on applicable Russian laws and regulations.
• Monitoring & checks - Assistance with/participation in regular or ad-hoc monitoring & checks.
• Miscellaneous - Participation in firm-wide projects with compliance relevance/ in department-wide projects as instructed by the line manager.
• During the absence of the department assistant: Handling requests related to corporate documents and notaries’ and translation agencies services, the invoices thereof. Interaction with the executive office/corporate secretariat of the firm and other companies in the group with respect to corporate documents, in particular related to shareholders and shareholdings.
• Independently or together with other members of the Compliance team compliance related projects or matters not listed above as directed by the local or global compliance head.

Qualifications:

• Degree educated in law.
• Fluent English.

Conditions:

• Full-time job;
• Permanent contract;
• Competitive salary;
• Comfortable office;
• Social package.