Compliance & Operations Manager recruitment

My client is a Proprietary trading firm looking for a Compliance Operations Manager to look after the UK business. The position will be responsible for a number of areas within the business and will serve as an essential point of contact between the UK operations and US parent company.

The daily duties will include:

• Performing control functions for Compliance Oversight (CF10), Risk Assessment (CF14) and Significant Management Function (CF29)

• Serving as the Firm’s key point of contact for the FSA

• Ensuring that the Firm’s London Operation is adequately staffed

• Working closely with U.S. Compliance Department and assist in the administration of an effective compliance program.

• Maintaining knowledge of applicable regulations

• Overseeing all financial and regulatory audits

• Functioning as an essential liaison between the UK Operations and the US Operations

• Taking responsibility for areas including Accounting, Human Resources, Legal/Compliance, and Risk Management

• Serving as the primary contact in London for the Firm’s clearing firms, banks and vendors, and coordinating with the parent company for required support

• Administering key projects

• Interacting with our trading partners on a daily basis

• Managing and directing personnel in all trading and administrative areas

Candidates will need to have experience of working with derivatives products, ideally within a proprietary trading environment and have operated at a senior level within the team. A commercial and technical approach will be necessary and therefore communication and problem solving skills are a must. This is an incredibly exciting opportunity in the market to take on responsibility for a very successful firm and help them grow.

If you have had experience of working within a proprietary trading or related derivatives firm, have a thorough understanding of applicable FSA regulations and have a commercial apporach please don’t hesitate to contact me on tgb@barclaysimpson.com for further information or submit your details for consideration.