Senior Compliance Officer
The Senior Compliance Officer will support the new interest rate derivatives platform based in London. The candidate will be involved from the beginning in helping to shape the business and the compliance framework:
- Responsibility for all regulatory and compliance matters for the platform
- Point of contact for FSA and any other relevant regulatory authorities
- Create and deliver the annual Compliance Training Program and delivering new starter training, Compliance training and Compliance update presentations
- Investigate referrals from the Operations and Market Surveillance teams on issues of Market Abuse, Disorderly Trading and Money Laundering Escalating these to senior management, the FSA and NCIS where necessary
- Prepare for internal-external audits and FSA visits
- Review of new business initiatives and IT developments for regulatory risk.
Having read the role description and seen what we are looking for (below), please ensure both are demonstrated on your CV before submitting an application. You must display knowledge of:
- SMARTS Surveillance system a plus
- FSA regulation of investment firms required
- FSA regulation of multilateral trading facilities and exchanges a plus
- Derivatives markets and products a plus. Legal background a plus.
A leading Stock Exchange based in London.
A highly competitive package based in London.
Where specific UK qualifications are required we will take into account overseas equivalents.
Please quote Michael Page reference when applying Job ref:MPGX13259837
Michael Page International is a world leading recruitment consultancy.
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