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Director of Compliance

4 months ago

London, United Kingdom ICE Full time
Job Description

DESCRIPTION/ JOB PURPOSE

  • Reporting to the Head of Compliance and Legal, IBA
  • Lead the regulation and compliance function of IBA
  • Ensure that IBA complies with its regulatory obligations under the UK Benchmarks Regulation (BMR) and the relevant sections of the FCA’s Handbook

DUTIES AND RESPONSIBILITIES

  • Leading IBA as part of the senior management team, contributing actively to the leadership of IBA to ensure that its goals and intended outcomes are achieved.
  • Managing IBA’s relationship with the FCA and ensuring that IBA meets its regulatory obligations.
  • Ensuring that IBA is well placed for compliance with new regulation and that appropriate new or updated policies, processes and controls are implemented.
  • Ensuring that IBA’s Oversight Committees function well, adhering to their terms of reference, applicable regulatory requirements and good corporate governance.
  • Being responsible for the proper functioning of IBA’s surveillance and legal functions, ensuring that they contribute to IBA’s fulfilment of its obligations and goals.
  • Preparing and presenting papers for IBA’s Board and Committees (drafting rules, codes of conduct, consultation papers, applications for regulatory approval and other documentation as required).

SKILLS/EXPERIENCE

  • Educated to graduate level or equivalent
  • Strong background in regulation, compliance, governance and risk management
  • Ability to lead IBA’s relationship with the FCA
  • Strong written and oral communication skills