Compliance/Regulations Manager
Prepare or assist with the firms’ compliance monitoring programmes, ant-money laundering procedures, manuals, record-keeping, systems and controls, desk policies etc. in accordance with Group and regulatory obligations;
Work with the Senior Director as the local interface with regulators managing correspondence and reporting requirements (FSA, MAS, FINMA, ASIC).
Advisory - Review regulatory developments and assess impact to business strategy and provide appropriate analysis for business to accommodate regulatory changes.
Conduct research to the businesses in relation to new products, services and jurisdictions and obtain relevant authorisations (or exemptions).
Monitoring of trading activity by brokers and participants and work with the Senior Director to assess risks to the business and raise to management for treatment as appropriate.
Handle day-to-day enquiries from front office and sales teams and discuss compliance issues with clients in relation to on-boarding or participation.
Experience Required;
Ideal candidate will have solid regulatory experience based at an investment bank, brokerage, regulated exchange/MTF or other equivalent financial services firms.
Understand and interpret FSA Handbook purposively (in particular MAR, COBS, SYSC, SUP).
Practical experience of OTC derivatives and fixed income products and post-trade processes are all highly desirable.
The candidate must be able to qualify to register as CF10 and CF11
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