Senior Compliance Manager

We are currently partnered with a global, Financial Services brokerage firm who, due to continued growth, are looking to add a Senior Compliance Manager to their existing UK Compliance function. This role will have a true generalist nature to it, so will require an individual comfortable working in an agile team and managing multiple workstreams. The long term plan is for the individual to take on the SMF16 function, so previous experience in holding this, is a must:

Key Responsibilities & Accountabilities:

• Ensure compliance with FCA Handbook and relevant regulations such as CASS, MIFID, EMIR
• Foster positive relationships between compliance and front office by delivering Compliance focused training to the business
• Conducting continuous monitoring and reviews of the Compliance Programme and trading activities
• Utilising technology to identify any potential cases of market abuse or other Compliance related breaches
• Being point of contact for the FCA, maintaining records, submitting reports and regulatory filings and developing the relationship
• Establishing solid first line KYC and AML processes for the onboarding of clients and conducting ongoing due diligence for existing clients

Knowledge, Technical Skills & Competencies required:

• Minimum 4 years Compliance experience within a regulated trading firm, ideally with a FX/CFD background
• Is currently holding or has held in recent times the SMF16 function
• Sound and up to date knowledge of current UK regulations along with MiFID II, MiFIR & EMIR rules
• Ability to communicate effectively with stakeholders of all levels to promote the Compliance culture from within
• Comfortable working autonomously on numerous projects at any given time

If you possess the relevant regulatory knowledge and experience, and are looking to further your career in a growing, global business, please apply now. For more information, reach out to [email protected].

As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.