Our client, an international brokerage firm, is hiring a compliance manager to be based in London. Reporting to the Head of Compliance, this sole contributor role will:
Provide all round compliance support and ensure compliance policies and procedures are up to date and complied with.Be the internal go to person for day-to-day compliance advisory questions and to be the trusted adviser for business units and the management team.Update business units on an ongoing basis on regulatory change and interpretation.Collaborate and maintain good relationships with colleagues and external parties.Be the compliance specialist in the project team(s) for the more complex regulatory driven implementations, e.g. Mifir/EMIR reporting requirements. Assist with the implementation and management of the compliance risk based monitoring plan. Support and guide the business units with implementation of solutions and ensure actions are tracked to completion. Advise Management on regulatory control matters. Provide accurate and concise management information reporting. Advise front office and sign off on trading and regulatory issues. To conduct employee compliance related training, including inductions, product education and periodic refreshers. Implement the SMCR certification process and its all related framework Manage the standard compliance registers including but not limited to gifts/entertainment, on line training, outside business interests and annual declarations.To qualify, you must be an experienced compliance professional, ideally with brokerage firm experience with the following experience and exposure:Practical knowledge of the commodities derivative market, essentially base metals, OTC commodities and FX markets. Strong knowledge of the regulatory requirements of LME and EMIR,MiFID2, SMCR, IFPR and Dodd Frank. Strong knowledge of rules and guidance in respect of Due Diligence for corporate entities. Practical experience of FCA rules including Conduct of Business Sourcebook (COBS), Senior Management Arrangements, Systems and Controls (SYSC), Market Conduct (MAR) and Supervision (SUP). Proactive in refining and enhancing policies and procedures to support the business as it expands. A team player, you must be able to work discreetly and maintain confidentiality.To regularly engage with front office colleagues and agents as well as regulatory bodies.
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