Senior Compliance Advisory & Global Corporate Oversight

THE COMPANY:

Our client is a leading independent Brokerage firm.  They are looking for a Senior Compliance Advisory & Global Corporate Oversight for their team.

THE RESPONSIBILITIES:

• Provide centralised global corporate oversight of engagement.  Collaborating and coordinating with regional CCO’s to ensure the interaction and engagement with Group partners to provide the necessary support and coordination of appropriate controls, Code application to processes, Normative control governance, management reporting and 3LoD engagement.
• Proactively maintain relationships and open communication with, and actively promote Compliance within business lines and other control functions.
• Maintain active awareness of latest new or upcoming regulatory changes and to provide first line Compliance advice and guidance to trading and research businesses, technology and operations teams to ensure compliance with applicable laws and regulations, Compliance policies.
• Proactively maintain the compliance risk framework, ensuring that the inherent regulatory risks posed by business activity are determined, the mitigating factors are considered, and further mitigants are implemented to negate the residual risk.
• Liaise with Compliance staff in Paris, New York and Asia as required, and provide guidance to Compliance colleagues on the interpretation of the FCA and EU regulatory regimes and the UK/EU based Exchange rulebooks which apply to staff based overseas who actively trade in UK/EU markets.
• Active engagement and liaise with the Compliance surveillance team responsible for day-to-day transaction monitoring in relation to exchange enquiries and periodic Compliance Risk desk-based reviews of the firm’s Business Lines, ensuring appropriate support and guidance in the development of product knowledge within the Compliance Monitoring Team, and assisting the Monitoring Team with Desk Reviews and completion of enquiries arising from the routine monitoring.
• Provision and coordination of management reporting to support the Compliance programme and associated risks.
• Proactively support the CCO and MLRO in the management and performance monitoring of tasks through outsourced services, including financial crime, surveillance and conflict management.
• Actively contribute to the Compliance Risk Assessment to ensure the CRA appropriately identifies the regulatory risks.  Contributed to the development and undertake control reviews supporting the Compliance Risk Assessment to evidence the Compliance Monitoring Programme.
• Develop and deliver appropriate regulatory training to staff using technology, face-to-face, one-to-one and classroom methodologies, as appropriate.
• Actively participate, and where required, lead in investigations into incidents arising within the firm to provide regulatory input. Participation in the investigation of, and response to complaints arising concerning issues within the business line. Ensure timely and accurate responses to regulatory enquiries and liaise with internal groups to obtain information.
• Participate in the impact analysis of regulatory/exchange consultation documents with Compliance and Legal, communication of requirements to business line management as required, and ensuring the implementation of any developments arising within the business lines.
• Ensuring timely and accurate responses to regulatory and exchange enquiries and liaising with internal groups to obtain information, as well as production of appropriate Management Information.
• Actively lead and participate in Compliance Projects, to support the co-ordination and management of projects by the Chief Compliance Officer.
• Proactive and timely escalation of issues to the Chief Compliance Officer, ensuring regular and frequent communication on such issues.
• Involvement in the delivery of items in the annual Compliance Plan, as determined by the Chief Compliance Officer, which are relevant to the coverage of the team, in a timely manner.
• Attendance and participation in initiatives driven by trade associations and other industry bodies, ensuring that Business views on regulatory developments which could impact on its business in the UK are provided as part of any consultation initiatives.
• Proactively engage in the development and performance of Permanent Supervision Controls as allocated to Compliance.

EXPERIENCE REQUIRED:

• 8 -10 years equities Compliance Advisory experience
• Strong experience in Financial Markets – particular strengths in cash market activities clearing/settlement, normative control frameworks, governance and controls, would be an advantage
• Good working knowledge of FCA and European regulatory requirements/standards
• Critical eye and an analytical mind is essential
• High capacity to adapt constantly
• Excellent communication skills, both written and verbal, confident when interacting with employees at all levels

For further information, please contact Hannah Tabatabai