The successful candidate will have the following key accountabilities:
- Oversight and undertaking the Compliance Monitoring Programme
- Conducting specific thematic reviews including Best Execution, Transaction Monitoring, CASS, Conflicts of Interest and Conduct Risk.
- Identification of and reporting on regulatory changes and developments - to include any associated project work arising from any such change across the business. This is to include FCA requirements and any applicable EU regulations, BREXIT notwithstanding.
- Oversee the new joiner process to include competency assessments, FCA registration and deregistration processes, together with the appropriate exam and training bookings
- Conduct staff training on applicable compliance matters - regulatory topics, induction training and approved persons training.
- Drafting and updating compliance policies, manuals and procedures.
- Providing cover for the Head of Compliance
- Preparation of the agenda and minutes for Senior Management for the monthly Compliance Committee.
To be considered for the above position the ideal candidate should possess the following skills and attributes:
- Minimum 5 years of relevant experience
- Knowledge of and experience of working with FCA CASS rules (essential)
- Understanding of wholesale fixed income securities business including repo and securities lending
- Thorough knowledge of UK regulations as applicable to a securities business, ideally with a relevant qualification.
- Experience of working within a small team and of having staff oversight responsibilities.
In exchange for the above my client offers a competitive remuneration package togther with the opportunity to join a market leading organisation at an exciting phase of their growth.