Senior Compliance Manager

4 days ago

Bromley, United Kingdom eFinancial Careers Full time

**Key Requirements**:
The Regulatory Compliance Department ensures the firms operate in compliance with FCA regulation.

The Compliance function has responsibility for FCA reporting, management reporting, risk assessment and development of a risk-based monitoring programme, advisory responsibilities including providing support for staff training and providing day-to-day assistancefor front office staff, participating in the establishment of new policies and procedures.
- Work closely with the Head of Compliance to build awareness of the firms’ regulatory obligations;
- Day-to-day provision of assistance and advice, training and awareness to front office sales and trading departments and other business areas;
- Maintain up to date awareness of rule requirements and regulatory guidance, essentially EMIR, MiFID II, PSD 2 and BREXIT related changes;
- Research and horizon scan for regulatory change, keep the business advised accordingly;
- Liaise with external legal counsel and interpret advice;
- Review and maintenance of Compliance guidance, policy and procedures;
- Coordinate and formulate responses to internal and external regulatory enquiries, audits and queries;
- Handle complaints in line with regulatory requirements;
- Approve financial promotions;
- Approve new products in line with new product approval process;
- Oversight of team’s typical investigatory and surveillance work (CMP) and escalate where necessary;
- Support and train members of the team in new project work driven by the changing regulatory environment;
- Influence and improve conduct and culture;
- Produce relevant management information for senior stakeholders in the business.

**Expertise required**:

- Able to demonstrate significant compliance advisory/generalist experience operating within FX or derivatives trading.
- Strong knowledge of the regulatory environment in which an FX firm operates;
- Strong knowledge of FX and derivatives;
- Extensive knowledge of front/ back office operations and practices and products and business, including industry practices, market regulations and conventions, policies and procedures;
- Demonstrable knowledge of FCA Handbook, MiFID II, MiFIR & EMIR rules and guidance;
- Team oversight and leadership capabilities

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