Compliance Advisory Manager

Job duties:

• Develop and maintain relationships with Senior Management across the business, specifically with the Senior Managing Directors, SMF18’s and Desk Heads
• Support the Compliance Advisory Management
• Line management of Compliance Advisory Officers and Compliance Associates
• Interaction with Exchanges and 3rd Party Venues
• Provide timely and accurate regulatory advice to the business
• Perform Regulatory Analysis; identifying the impact of upcoming Regulation on the relevant business areas
• Draft policies and internal procedure documentation eg Conflicts of Interest Policy and Compliance Manual
• Identify/Write/Implement compliance controls
• Operate/Execute specific controls owned by the Compliance Function
• Perform investigations into the activities within the Global Broking business to ascertain compliance with the relevant regulations
• Write internal compliance communications
• Write and deliver compliance training material
• Represent the Compliance Function on the internal Change Management Governance meetings (CMQ) and on projects delivering regulatory change
• Represent the Compliance Function on internal Governance Forums & Working Groups
• Represent the business at external meetings and events eg National Competent Authority meetings and industry associations events
• Identification of risks and risk mitigation solutions
• Review output from the Compliance Monitoring Programme and implement remedial actions
• Review of legal entity permissions and supporting applications for new/amended permissions as required
• Project work as required from time to time.
• Fulfil additional/ad hoc duties as required to meet the needs of the business.

Knowledge/Experience

Essential requirements:

• Excellent working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations eg MiFID II and SMCR etc.
• Significant experience in a compliance or operational risk role within Financial Services.
• A bachelor’s degree or a period of work experience demonstrating equivalent ability.
• Excellent communication skills, both verbal and written.
• Highly experienced in analysing regulations and assessing their impact on the business.
• Demonstrable evidence of motivating and engaging a team and ensuring alignment to business goals and high delivery of team performance.
• Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.
• Able to work well with diverse groups and personalities.
• Experience of Wholesale Financial Markets.
• Experience of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.

Preferred requirements:

• Experience of inter-dealer broking.
• Strong knowledge of specific execution methodologies eg Name Give Up, Matched Principal, Exchange Give Up.
• Experience with OTF and MTF trading venues compliance and or operation.

Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

Expected salary:

Job date: Thu, 13 Oct 2022 07:23:43 GMT