Compliance Senior Manager – Data, Personal Data, Compliance Risks

THE COMPANY:

Our client is a leading global Brokerage firm based in the City.  They are looking for a Senior Compliance Manager to support the Compliance function in the design, implementation and maintenance of a risk based compliance framework.

THE RESPONSIBILITIES:

Compliance oversight and advisory:

• Provide guidance and objective challenge to the business on the management of compliance risks.
• Undertake compliance monitoring activities in line with the Compliance Plan.
• Ensure the Compliance framework is robust, effective and appropriately embedded across the organisation.
• Produce management information and reporting on the effectiveness of management of compliance risks.
• Support the business in implementing changes to processes and procedures arising from new or amended regulatory requirements, including initiatives to enhance the control framework where required.

Governance and committees:

• Attend committees and forums as required.
• Prepare committee papers and updates where necessary.

Business partnership:

• Act as a trusted advisor to the business while maintaining independent second line compliance oversight.
• Provide compliance review and challenge of first line activities and committee papers.
• Maintain effective working relationships across the three lines of defence to support a strong internal control environment and clear risk ownership within the first line.

Policies, procedures and training:

• Review and provide feedback on policies, procedures, frameworks and systems relating to compliance risk management and reporting.
• Draft compliance policies and procedures where required.
• Prepare and deliver compliance training and maintain appropriate records.

Group and regulatory engagement:

• Support effective liaison with the ESA Conduct & Ethics Division and other Group Compliance teams.

Data protection responsibilities Supporting the Data Protection Officer, including:

• Informing and advising the business and its employees on obligations under the GDPR, Data Protection Act 2018 and other relevant data protection legislation.
• Monitoring compliance with data protection requirements, including internal data protection activities, data protection impact assessments and staff training.
• Acting as a point of contact for the Information Commissioner’s Office and for data subjects.
• Maintaining confidentiality in the performance of data protection duties.
• Attending Group DPO White Boards on behalf of the DPO as required and sharing best practice.

EXPERIENCE REQUIRED:

• Relevant experience in compliance, second line risk oversight or regulatory/compliance advisory roles, ideally within a financial market infrastructure, large financial services firm or regulatory authority.
• Detailed knowledge of Bank of England, PRA and FCA requirements.
• Knowledge of CSDR, CPMIIOSCO Principles for Financial Market Infrastructures.
• Experience of interacting with external regulators and supervisors.
• Strong credibility and independence of judgement, with the ability to influence and challenge effectively.

For further information please contact Hannah Tabatabai