Trading Compliance Supervisor
3 weeks ago
Key Responsibilities:
- Establish and execute a comprehensive framework for Investment and Trading Compliance, focusing on best execution practices, market abuse prevention, equitable and timely trade allocation, and cross trading oversight.
- Conduct control testing as part of the Compliance Monitoring Plan related to Investment and Trading Compliance.
- Oversee adherence to regulatory standards and industry best practices in Equity and Fixed Income Best Execution.
- Assist the Gatekeeper function within the Equity and Fixed Income sectors.
- Implement monitoring of electronic communications.
- Perform regular, periodic, and ad hoc thematic reviews.
- Enhance knowledge in fixed income and equities investment management and trading, providing timely, practical guidance and proactive advice on Compliance policies and procedures to fund managers, traders, and local compliance teams.
Required Skills:
- Demonstrated experience in a comparable position, ideally within an asset management environment.
- In-depth understanding of FCA regulations, along with a solid grasp of the financial services landscape, including current best practices in compliance regulation.
We are committed to ensuring an equitable recruitment process. Please inform us if there are any adjustments we can make to enhance accessibility during your application journey.
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