Compliance Officer

London, England, United Kingdom

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Not SpecifiedCompensation

Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, FintechIndustries

Requirements

Candidates should possess a strong understanding of UK regulatory requirements, including conduct of business, SMCR, client assets, RTS 22, EMIR, SFTR, and best execution, along with experience in managing compliance control frameworks and developing policies and procedures.

Responsibilities

The Compliance Officer will provide regulatory advice across a broad range of regulations and products, contribute to the strengthening of the compliance control framework, oversee core regulatory processes, conduct risk assessments, help prepare and deliver the annual compliance plan and training program, undertake compliance monitoring reviews, keep up to date with regulatory changes, and conduct investigations into regulatory breaches and incidents.

Skills

Regulatory Compliance

CASS

EMIR

SFTR

Conduct of Business

SMCR

Client Assets

RTS 22

Best Execution

Conflicts of Interest

Policy Development

Advisory

Training

Monitoring

Investigations

Reporting

Client Engagement

Counterparty Engagement

Regulatory Engagement

Vendor Management

Financial Technology

Clear Street

Provides prime brokerage and trading services

About Clear Street

Clear Street provides a unified platform for trading various financial products, including equities and options, across major markets. Their services focus on prime brokerage, which encompasses trade execution, financing, clearing, and custody, helping clients manage their trading activities effectively. The platform is cloud-based and API-first, allowing for easy integration with other systems and scalability for users. This setup enables clients to concentrate on trading rather than technical complexities. Clear Street differentiates itself with competitive pricing and a flexible approach, catering to both individual investors and large institutions. The company's goal is to enhance the infrastructure of capital markets, making trading more efficient and accessible.

New York City, New YorkHeadquarters

2018Year Founded

$457.2MTotal Funding

SERIES_BCompany Stage

Fintech, Financial ServicesIndustries

501-1,000Employees

Benefits

Company equity

401k matching

Parental leave

Full medical, dental & vision insurance

Lunch stipends

Fully stocked kitchens

Happy hours

Risks

Increased competition in cloud-native brokerage could pressure Clear Street's market share.

Regulatory changes in Europe may impose additional compliance costs for Clear Street.

Cryptocurrency market volatility could impact Clear Street's BTC yield strategies.

Differentiation

Clear Street offers a cloud-native clearing and custody system for capital markets.

The company provides a unified platform for trading equities and options globally.

Clear Street's API-first approach allows seamless integration with other software systems.

Upsides

Clear Street's UK expansion opens access to European markets and new revenue streams.

Winning top awards in technology and client service enhances Clear Street's market reputation.

Investment in Databento boosts Clear Street's access to advanced market data solutions.

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