Our Client, a Global Brokerage based in London, is currently looking for a Compliance Manager to join their team. Previous experience in Brokerages or Trading Houses is preferred.
Responding to daily Ad-hoc compliance queries of business units
Management and oversight of the transaction and order monitoring team and the tools they use including the surveillance systems. This includes training of the team, spot checks to ensure consistency, responding to escalated queries to determine if STOR submissions are warranted as well as calibration and system settings for the monitoring programmes
Specific monitoring of the Personal Dealing Accounts held both within and outside the Company to evidence that any such Personal Account Dealing is conducted in accordance with the relevant Rules and Regulations
Responsible for producing and submitting written monitoring reports where required to evidence such monitoring
Responsible for the maintenance and update of Compliance policies and procedures
Responsible for the Compliance Monitoring Program, ensuring it is up to date and appropriate. Ensuring it is completed fully and to a high standard to determine all business conducted is compliant with the relevant Rules and Regulations
Management and oversight of the regulatory team to ensure compliance queries from third parties are answered appropriately and transaction reporting matters are addressed
Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.