Compliance Officer


SOVA Capital Limited is looking to recruit a Compliance Officer on a full time, permanent basis to join the existing international team.







Описание

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.




Контакты вакансии

Мария Новикова



Требования к кандидату

Профессиональный опыт*

3 года (Обязательно)


Образование

Бакалавр / Специалист (Обязательно)

Разрешение на работу

Россия (Обязательно)

Индустриальный опыт

Финансовые услуги (Обязательно)

Знание языка

Английский: Продвинутый (Обязательно)