The main responsibilities of the role are as follows:
To ensure that the Company operates within all relevant legislation, The Financial Services and Markets Act 2000, and any additions or amendments thereto, the Rules of the Financial Conduct Authority and the Rules of the relevant Exchanges upon which the Company conducts business, and the Rules and regulations within all jurisdictions in which the Company operates either directly or indirectly.
- To assist with reporting in respect of Anti-Money Laundering matters when required.
- To advise, liaise and negotiate with all such individuals and/or entities to ensure professional conduct and maintenance of existing business and to assist in new projects where relevant.
- People Management Responsibilities: - Directly responsible for the performance of the Compliance Department and responsible for managing/assisting to manage any performance related issues where appropriate, in relation to salary and bonus decisions, Appraisals and any other personnel or business related issue at both an individual and/or departmental level.
- Arranging the work of the department to ensure deadlines are met
- Liaison with IT to ensure the necessary development work and programmes are in place to support the business
- Responsible for Internal and External Audit matters relating to compliance issues, monitoring and regulation.
- Update regulatory requirements and ensure appropriate staff training to maintain standards.
- Supervise/manage/assist to manage IB/IA relationships from a compliance perspective.
- Responsible for Exchange memberships and related investigation matters.
- Oversight of compliance monitoring and associated policies/procedures and systems.
- Assist in the collation of evidence in relation to litigation matters, in conjunction with the Deputy Compliance Officer, Legal/Compliance Director.
- Handle Customer complaints in an appropriate and timely manner and record and review such complaints/cases as required in conjunction with the Deputy Compliance Officer, Legal.
- Suspicious Activities Reporting in conjunction with the Compliance Director
- Management Information ('MI'). Supply and collate MI to the Senior Management/Board to enable them to remain fully appraised of any material/substantive regulatory matter and/or issue.
- To act as deputy for the Compliance Director in conjunction with the Deputy Compliance Officer, Legal, in his absence by consulting with the other Directors as necessary.
- Ongoing control/oversight of the Company's Compliance Monitoring System
- Writing appropriate policies and procedures including the Compliance Manual and parts of Compliance Monitoring Programme and ensuring these are kept up to date.The candidate
The successful candidate will possess the following skills and attributes:
- Minimum 10 years' experience in a compliance environment
- Minimum 5 years managerial responsibility
- UK Financial Services Industry Qualification - CISI Diploma in Investment Compliance or similar
- Good working knowledge of database applications
- Good working knowledge and experience of front-end trading platforms (GMI, Fidessa and Easyscreen)
- Ongoing training in Money Laundering Verification Procedures
- Demonstrate a detailed knowledge of FCA rules and current regulatory proposals together with Europe level regulatory initiatives and requirements as well as a broad knowledge of other key regulators
- Demonstrate a detailed knowledge of the rules and requirements of key exchanges including ICE and Eurex, LME, Fixed Income and major commodity markets and FX business
- Demonstrate a knowledge of exchange traded derivative market products
In exchange for the above my client offers a competitive remuneration package and the opportunity to join a global organisation at an exciting stage of their development.