Senior Compliance Manager

THE COMPANY:

Our client is a global commodity derivatives broker, looking for a Senior Compliance Manager.  This is a hands-on generalist role with a significant focus on market surveillance.

THE RESPONSIBILITIES:

• Promote the compliance culture, corporate governance and control framework. Play an integral role in the day-to-day operation, enhancement, and expansion of the
• firm’s market surveillance capabilities, investigate potential market abuse cases and prepare STOR submissions where required.
• Handle exchange and regulatory queries including in relation to order and trading activity, involving data analysis, preparation of responses, and coordination with internal stakeholders.
• Conduct surveillance alert calibration and tuning, ensuring thresholds remain effective, proportionate, and aligned with evolving trading activity and regulatory standards.
• Assist the Head of Compliance in the development & oversight of the ongoing compliance monitoring programme (regulatory compliance checks)
• Conduct thematic compliance reviews under the Compliance Monitoring Programme.
• Support ICARA documentation and risk assessment updates.
• Provide considered guidance and technical advice on regulatory matters across the business.
• Take ownership of particular tasks and processes within the Compliance department, ensuring that tasks are undertaken in a professional manner, to a high standard and delivered within the agreed timeframes.
• Perform day-to-day Compliance tasks, ad-hoc projects, and other relevant duties, as required.
• Review and update the regulatory compliance framework, including the Firm’s Manuals, Policies and Procedures – periodically, as well as in response to internal and external changes.
• Escalate material compliance and market abuse matters to the Head of Compliance and senior management where appropriate.
• Contribute to regulatory horizon scanning and implementation projects.

EXPERIENCE REQUIRED:

• Office based role 5 days per week
• Experience at mid to senior level compliance roles at financial investment firms (preferably at commodity derivatives brokerages of LME/CME/ ICE business)
• Industry/product knowledge to include ETDs – futures & options, as well as OTC derivatives and clearing.
• Excellent understanding of FCA Regulation, particularly SYSC, COCON, COND, FIT, MIFIDPRU, COBS, CASS, MAR & SUP.
• Sound knowledge of and experience with SM&CR, IFPR and the ICARA process.
• Thorough knowledge of UK MiFID II, MiFIR, and EMIR (Refit) as well as with associated transaction reporting.
• Experience with market trade surveillance, ability to understand and interpret trade data in the context of analysing alerts for suspicious activity and market manipulation.
• Experience of dealing with the FCA, other regulators and exchanges.

For further information please contact Hannah Tabatabai