Our client are a leading London based Broker who have international offices and are rapidly expandiong and this would be an exciting time to join the business.
Senior Compliance Officer to provide Capital Markets Advisory oversight and support to our sales and trading businesses.
Reporting to the Head of Compliance, and joining a growing organisation, the successful candidate will be a senior member of the Compliance department, and capable of independently identifying compliance risks and engaging with and supporting our full range of investment services and activities which cover execution and clearing in Exchange Traded Derivatives, Cash Equities and Fixed Income, CFDs, Spread bets and foreign exchange, and multi-asset advisory and discretionary services to professional and retail clients
Main responsibilities (but not limited to):
As a senior member of the Global Markets Compliance team, you will take the lead in:
* Providing timely and effective regulatory guidance and assistance to senior management, desk heads and their teams, and to shared functions, on applicable capital markets regulations and requirements, and internal policies and procedures
* Developing and maintaining relationships with key stakeholders across the desks and shared functions to support compliance department activities within the firm and develop the compliance culture of the firm
* Identifying and assessing new and changing capital markets regulations and guidance, and preparing impact assessments and guidance for the first line
* Conducting and coordinating compliance risk assessments, and reporting to senior management on deficiencies, gaps, and opportunities for improvement in the firm's governance arrangements and systems and controls
* Drafting and reviewing compliance policies, and supporting the first line by assisting in the drafting and review of first line policies and procedures, and other materials that support the firm's compliance with the regulatory system
* Developing and delivering compliance communications and training
* Identifying and escalating potential and actual breaches of the regulatory system and coordinating and reporting on remediation activities
Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.