Banking & Financial Services

Compliance Officer

Full Time

We offer an environment where hard work will be rewarded and a package which is comparable for the same role in London.

Due to some recent structural changes in the company, we are seeking to recruit an experienced Compliance Manager.

Key Requirements:

The Regulatory Compliance Department ensures the firms operate in compliance with FCA regulation.

The Compliance function has responsibility for FCA reporting, management reporting, risk assessment and development of a risk-based monitoring programme, advisory responsibilities including providing support for staff training and providing day-to-day assistance for front office staff, participating in the establishment of new policies and procedures.

  • Building awareness of the firms’ regulatory obligations;
  • Day-to-day provision of assistance and advice, training and awareness to front office sales and trading departments and other business areas;
  • Maintain up to date awareness of rule requirements and regulatory guidance, essentially EMIR, MiFID II, PSD 2 and BREXIT related changes;
  • Research and horizon scan for regulatory change, keep the business advised accordingly;
  • Review and maintenance of Compliance guidance, policy and procedures;
  • Coordinate and formulate responses to internal and external regulatory enquiries, audits and queries;
  • Oversight of team’s typical investigatory and surveillance work (CMP) and escalate where necessary;
  • Support and train members of the team in new project work driven by the changing regulatory environment;
  • Produce relevant management information for senior stakeholders in the business.

Expertise required:

  • Able to demonstrate significant compliance advisory/generalist experience operating within FX or derivatives trading.
  • Strong knowledge of the regulatory environment in which an FX firm operates;
  • Extensive knowledge of front/ back-office operations and practices and products and business, including industry practices, market regulations and conventions, policies and procedures;
  • Demonstrable knowledge of FCA Handbook, MiFID II, MiFIR & EMIR rules and guidance;
  • New IFR/IFD prudential regime revises capital requirements, capital composition, liquidity requirements, reporting, disclosure, governance.
  • Experienced with a deep understanding of compliance, operations and settlements within the banking industry.
  • Previously held CF10 and CF11 controlled function positions or SMF 16 and SMF 17 controlled function.

This is an exciting opportunity to join a forward-thinking financial services firm that is about to enter an exciting era of development.

We are an equal opportunity employer and value diversity at our company.

We do not discriminate on the basis of race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Job Types: Full-time, Permanent
Hours: Monday to Friday, Hybrid Working

Employment Type Permanent

Advertiser Type Agency