A leading European Market Maker are currently looking for a Compliance Manager with Financial Services experience, ideally within a Wealth Management, Brokerage, or similar. The role will be supporting the Head of Compliance in the development and delivery of the Compliance Programme including risk assessments, policies & procedures and staff training in order to deliver the Compliance Mandate. the role requires a strong knowledge of Conduct of Business and Financial Crime requirements as they relate to a retail investment platform. In addition, the role is also responsible for managing a number of key regulatory activities relating to monitoring, training and internal reporting across the entire business.
-Supporting the Head of Compliance in delivering the obligations set out in the Compliance Mandate.
-Providing expert advice, support and intervention in relation to the activities of the business.
-Managing the Compliance team, in conjunction with the Wins Compliance Manager, in the effective and efficient delivery of the key compliance activities
-Maintaining a strong understanding of the Firm's, specifically WBS', business model and strategy
-Identifying and highlighting key regulatory changes and provide leadership in delivering the required changes to the Compliance department, WBS and the business as a whole
-Maintaining an up to date understanding of the regulatory environment as it pertains to the Firm, with a specific focus on WBS
-Ensuring adequate technical coverage within the Compliance team in order to provide regulatory advice and understand regulatory risks
-Development of key compliance risk assessments, policies and procedures including those relating to financial crime
-Taking a lead role, in conjunction with the Wins Compliance Manager, in the development of the Compliance team and its members, with a specific focus on direct reporting lines
-Supporting the Head of Compliance in talent and succession planning
-Acting as alternate to the Head of Compliance or the Wins Compliance Manager in their absence
-To act as the Deputy MLRO in support of the Head of Compliance (MLRO)
-Participating in relevant Group and Industry committees and forums as necessary on behalf of the Head of Compliance