Senior Manager
The team is responsible for the following areas:
1. The compliance control environment including the management and update of policies and associated procedures and controls
2. Supporting the understanding of the compliance risks facing the business / functions and testing of the compliance framework through:
- Developing and undertaking risk based compliance monitoring activities
- Undertaking self assessments against our regulatory obligations
3. Providing Quality Assurance for ongoing Compliance activities including
- Ensuring the ongoing reporting and notifications to regulators is occurring
- The workflow management of responding to regulatory requests and the outputs of regulatory reviews
FUNCTIONAL RESPONSIBILITIES
Risk Assessment: Manage the process for undertaking compliance risk assessments across the business. Document the outputs of the assessments and work with the business on developing remediation plans to mitigate regulatory risks where required.
Monitoring: Undertaking compliance monitoring in respect of the core compliance risks of the business. Carry out ad hoc risk based reviews and help the business to devise and close out on corrective action plans. Identify policy breaches and provide appropriate reporting to management.
Policy management: Supporting the management of compliance policies and the policy governance across the Group with Core Compliance colleagues.
Controls: Review and ensure that Compliance controls are fit for purpose and address the regulatory requirements.
Training: Maintain an appropriate regime for new joiner induction training and ongoing compliance training for all staff; deliver ad hoc compliance training on new initiatives as and when required.
Major regulatory projects: Participation in major regulatory projects that have a business impact, ensuring that changes are appropriately embedded in the business. Ensure effective implementation of all new compliance policies.
TECHNICAL KNOWLEDGE
In order to assist with the above technical compliance knowledge in some of these areas would be an asset in supporting the Head of Compliance:
EMIR Dodd-Frank: Knowledge of the EMIR and Dodd-Frank
Financial Crime: Knowledge of Anti-Money Laundering, Sanctions and requirements including KYC, SAR management, PEP screening and sanctions compliance.
Data Protection: Knowledge of UK and European data protection and security obligations.
Anti-Bribery and Corruption: Knowledge of UK Bribery Act, the US Foreign Corrupt Practices Act and implementation of appropriate procedures for managing bribery risk.
Market Abuse and Insider dealing: Knowledge of the market abuse and insider dealing regimes in order to support the business and compliance in managing the relevant risks.
Candidates should have strong, demonstrable experience in a compliance, legal, or post trade environment including a good understanding of the compliance issues impacting market infrastructure.
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