Compliance Monitoring Manager

2 weeks ago

London, United Kingdom Clear Street Full time

About Clear Street:
Clear Street is building financial infrastructure for today’s institutions. Founded in 2018, Clear Street is an independent, non-bank prime broker replacing the legacy infrastructure used across capital markets.
We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex, global market. Clear Street’s proprietary prime brokerage platform adds significant efficiency to the market, while focusing on minimizing risk and cost for clients. Our goal is to create a single source-of-truth platform for every asset class, in every country, and in any currency.
By combining highly-skilled product and engineering talent with seasoned finance professionals, we’re building the essentials to compete in today’s fast-paced markets.
The Role:
Clear Street’s mission is to become a single-source platform that serves a variety of investor types across multiple asset classes on a global scale. The Clear Street U.K. team is bringing Clear Street’s established equities, options, and fixed-income prime brokerage business to a new market.
Overseeing compliance ensuring the firm complies with laws, regulatory requirements, policies and procedures covering conduct of business compliance and financial crime matters.
Establishing standards and ensuring the implementation of procedures are effective and efficient in identifying, preventing, detecting and correcting non-compliance with applicable laws and regulations.
Overseeing and monitoring the implementation of the compliance programme.
Providing guidance, advice, and training to improve business understanding of related laws and regulatory requirements.
Providing strategic direction to Management/Board on compliance.
Preparing and presenting clear and concise compliance reports to the Board.
Interaction with regulators on compliance issues.
Oversee the development and execution of the compliance risk assessment covering Compliance and financial crime risks.
Overseeing and coordinating internal compliance reviews (desk-top reviews) and monitoring activities (market abuse and insider trading, AML, ABC, Fraud and sanctions).
Independently investigating and acting on matters related to compliance and AML.
Coordinating efforts related to internal and external audits, reviews and examinations.
Oversee all regulatory reporting processes for compliance ensuring adherence with regulations and regulatory expectations.
Participating in committees as required.
Providing appropriate input into, guidance and delivery of, the Compliance training program.
Maintaining oversight of regulatory developments and determining appropriate representation at industry forums as appropriate.
Regularly interfacing with the relevant regulatory bodies and, based on their guidance / requirements, adjusting compliance activities and priorities as appropriate.
Help drive a positive conduct and culture agenda within the firm.
Key Responsibilities:
This role will hold SMF 16/SMF17 responsibility.
Reporting to the CEO, the Chief Compliance Officer and MLRO (CCO) will serve as the primary interface with the FCA, in its capacity as the lead regulator.
The CCO will input into the firm’s business strategy and be responsible for defining and implementing the Compliance strategy, which delivers against the business strategy.
The CCO will act as the 'ambassador' of the Compliance function within the firm. As such, the CCO will be responsible for increasing the profile of the function throughout the business, and ensuring appropriate interaction between the function and the business on a day-to-day basis.
The CCO will be accountable for and oversee the delivery of the Compliance Monitoring Programme.
Requirements:
Atleast 10+ years of compliance experience within the financial services industry, specifically within prime brokerage, custody and clearing businesses
Bachelor's Degree in Finance, Economics, or related field
Strong product knowledge and regulatory experience within prime brokerage, custody and clearing
Experience writing and implementing policies and procedures, as well as remediating existing ones
Proven ability to directly interact with regulators, understand their requests and provide guidance to the firm
Strong research skills; analytical and problem-solving skills; and attention to detail
Ability to identify, develop and recommend "best practices"
Excellent communication, especially writing skills
We Offer:
At Clear Street, we offer competitive compensation packages, company pension contribution, full medical and dental. Our belief has always been that we are better as a business when we are all together in person, and we therefore look to collaborate in person three days per week.
Our top priority is our people. We’re continuously investing in a culture that promotes collaboration. We help each other through challenges and celebrate each other's successes. We believe that modern workplaces succeed by virtue of having high-performance workforces that are diverse — in ideas, in cultures, and in experiences. We put in the effort to make such a workplace a daily reality and are proud to be an equal opportunity employer.
#J-18808-Ljbffr

  • Compliance Monitoring Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...

  • Compliance Monitoring Manager

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance management within the business;...

  • Compliance Officer Monitoring

    5 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

  • Senior Compliance Monitoring Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    We are working exclusively with an International Wholesale Bank located in the City of London, who are looking for a Compliance Manager to join the team. Report to the Chief Compliance Officer, covering all aspects of compliance, specialising in customer due diligence and anti-money laundering. Review due diligence in respect of customers at take-on,...

  • Financial Crime Compliance Monitoring Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    We are working with a successful retail and wholesale bank based in the West End, they are looking for a Financial Crime Compliance Manager to join the team on a 6 month FTC basis. To lead on horizon scanning, interpretation, and implementation of changes and updates to AML/CTF and controls for mitigating the risks financial crime UK Financial industry...

  • Compliance Monitoring Manager

    18 hours ago

    London, United Kingdom LHH Recruitment Solutions Full time

    The Compliance Monitoring Manager will take a leading role in delivering the Regional Compliance Monitoring programme, including delivery at the checkpoints identified by the Regional Head of Compliance Monitoring. This role is instrumental to the improvementof risk management within Compliance. Regional Compliance Monitoring forms part of the Investment...

  • Compliance Monitoring Manager

    6 days ago

    London, United Kingdom Mazars Full time

    Our Business Services team is a collective set of creative, strategic, forward-thinking business enablers. Together the People & Culture, Marketing & Communications, IT, Operations, Finance and Quality & Risk Management teams make it their mission to ensureMazars has the right tools, technology, strategies and services in place to deliver exceptional client...

  • Compliance Manager/Senior Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact assessments. Support the...

  • Senior Compliance Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...

  • Compliance Monitoring Manager

    1 week ago

    London, United Kingdom eFinancialCareers Full time

    NEW ROLE - Compliance Monitoring Manager Inside IR35 ASAP Start **Experience**: - Experienced in compliance, risk or audit roles in a UK Asset, Platform &/or Wealth Management market - Experience of compliance oversight/assurance activity, risk assurance or internal audit - Relevant governance, risk management and control expertise - Relevant knowledge...

  • Compliance Monitoring Manager

    6 days ago

    London, United Kingdom eFinancialCareers Full time

    We are exclusively recruiting for a well-established Asset Management business that is looking to recruit a Compliance Monitoring Manager to join this highly successful business. Reporting to the Head of Compliance Monitoring working within a broader compliancefunction this could be the ideal opportunity for someone looking to make the next step up in their...

  • Compliance Monitoring Manager

    2 hours ago

    London, United Kingdom Energy Jobline ZR Full time

    Job Description Duties and Responsibilities 1) You will assist in the delivery of the Department’s Compliance desk and thematic monitoring programme, including: - Planning and conduct of individual reviews in accordance with the annual compliance plan; - Identification of key risks in relation to regulatory compliance and business activities; -...

  • Compliance Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working exclusively with an International Wholesale Bank located in the City of London, who are looking for a Compliance Manager to join the team. THE RESPONSIBILITIES: Report to the Chief Compliance Officer, covering all aspects of compliance, specialising in customer due diligence and anti-money laundering. Review due...

  • Senior Compliance Manager

    Found in: Talent UK 2A C2 - 10 hours ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance.THE RESPONSIBILITIES:Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...

  • Compliance Manager

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. THE RESPONSIBILITIES: Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance...

  • Compliance Monitoring

    2 days ago

    London, United Kingdom Austin Andrew Full time

    PA dealing monitoring - Best execution monitoring - Market abuse monitoring - Telephone record monitoring - Research / inducements monitoring - Gifts & entertainment monitoring, and maintaining the gifts register - Assist with regulatory reporting - Annex IV, NFA CPO PQRs, SEC and State filings, annual NFA updates, SEC Form ADV updates and FCA REGDATA...

  • Senior Compliance Manager

    Found in: Appcast UK C2 - 7 hours ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance.THE RESPONSIBILITIES:Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...

  • Senior Compliance Manager

    Found in: Appcast UK C C2 - 6 hours ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance.THE RESPONSIBILITIES:Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...

  • Senior Compliance Manager

    Found in: Appcast Linkedin GBL C2 - 1 hour ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance.THE RESPONSIBILITIES:Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...

  • Senior Compliance Manager

    Found in: Whatjobs ES C2 - 35 minutes ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory...