Compliance Manager
Key Outline :
Provide pro-active compliance advice and support to all Global Markets Sales and Trading teams in the UK;
Drive the development and implementation of an enhanced surveillance monitoring programme;
Assist with enhancements to the compliance monitoring programme to ensure appropriate coverage of key systems and controls, code of market conduct and exchange specific rules as applicable;
Act as the key regulatory contact for business development projects such as applications for exchange membership;
Proactively assist compliance colleagues with the oversight of interactions between the Chinese walled areas;
Deputise for the Head of Regulatory Risk and Compliance as required, including managing/ supporting compliance team members.
Participate in programmes to Identify and analyse new/proposed/amended laws, regulations and industry codes that will impact Global Markets, recommend action plans to provide for full compliance and co-ordinate implementation efforts.
Liaise with global colleagues to ensure the efficient identification and remediation of cross jurisdiction issues.
Develop tailored training sessions for incorporation into the annual Compliance Training programme.
Required skills:
Broad knowledge of Global Markets products (Forex, Interest Rate Derivatives, Money Markets, Fixed Interest Securities, Commodities), Prior experience of working in a trading environment covering some of the products noted above is essential.
Good understanding of conduct regulation and in particular the market abuse regime
Excellent communication skills with all levels of internal and external parties;
Ability to work independently with strong time management skills.
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