Compliance Manager

22 hours ago

City Of London, United Kingdom Maven Securities Full time

Compliance Manager (Market Abuse Surveillance)Join Maven Securities Maven Securities as a Compliance Manager (Market Abuse Surveillance). Based in London, you will lead the global market abuse surveillance function across EMEA, APAC, and the US.Role OverviewAs a Compliance Manager (Market Abuse Surveillance), you will assume full ownership of the end-to-end market abuse surveillance process for trading activity on‑exchange and over‑the‑counter (OTC) across multiple asset classes, with a focus on high‑frequency trading (HFT), exchange‑traded derivatives, and cash equities. You will optimise surveillance systems, manage alerts and investigations, and serve as the primary contact for internal and external stakeholders worldwide.Key ResponsibilitiesGlobal Function Leadership: Own and provide strategic oversight of the market abuse surveillance programme, ensuring effective risk detection and compliance with regulatory requirements.Surveillance System Optimisation: Lead adjustment and optimisation of surveillance system parameters to match evolving trading strategies and product types.Comprehensive Monitoring: Oversee surveillance across all relevant asset classes and jurisdictions, proactively identifying, escalating, and resolving potential market abuse.Alert & Investigation Management: Manage the complete lifecycle of surveillance alerts from review and investigation to escalation and closure.Risk Assessment (MARA): Lead global Market Abuse Risk Assessments and use findings to enhance systems, controls, and surveillance methodology.Regulatory Escalations: Prepare and submit Suspicious Transaction and Order Reports (STORs) to the FCA and other regulatory authorities as required.Stakeholder Engagement: Serve as a key contact for trading desks, regional compliance functions, and regulators or exchanges worldwide.Global Reporting & MI: Deliver management information, analytics, and reports to senior management, highlighting global trends and risks.Technical Investigation Support: Utilise SQL and Python to support investigative efforts and data analysis.Desirable Skills & ExperienceMinimum 7 years of experience in compliance surveillance or trading controls with exposure to global markets and HFT environments.Proven experience in parameter optimisation for market abuse surveillance platforms.Extensive knowledge of MAR, UK/EU market conduct rules, and regulatory requirements across EMEA, APAC, and the US.Deep product knowledge of exchange‑traded derivatives, cash equities, and OTC products.Experience conducting global Market Abuse Risk Assessments.Track record of managing, escalating, and resolving surveillance alerts and investigations.Strong relationship‑building skills with front office, regulators, and internal compliance colleagues.Technical proficiency in SQL and/or Python for investigations and data reviews.Personal AttributesHigh ethical standards, integrity, and sound judgment.Strategic, proactive, and able to operate autonomously with a global perspective.Excellent communicator who can influence and build relationships across all levels.Analytical and detail‑oriented with a broad strategic view.Collaborative in a cross‑functional, multinational environment.What We OfferTechnology‑driven environment with a start‑up culture without the associated risks.Friendly, informal, and highly rewarding culture.A fast‑growing global firm with opportunities to make a significant impact.A great environment where technology is key to our success.Location: London, England, United Kingdom #J-18808-Ljbffr

  • Manager, Compliance Risk and Assurance

    2 weeks ago

    City Of London, United Kingdom Compliance Professionals Full time

    THE COMPANYOur client is multinational Corporate banking company, with branches worldwide.THE RESPONSIBILITIESDirect contribution to completion of the annual Financial Crime Business-wide Risk Assessment (BWRA) and Compliance and Conduct Risk Assessment (CCRA) process, and identify and implement appropriate controls to detect, prevent and mitigate risks...

  • Investment Compliance Analyst

    2 weeks ago

    City Of London, United Kingdom Compliance Professionals Full time

    A wealth management firm in London is seeking a compliance professional to support investment compliance oversight activities and assist with compliance monitoring. Ideal candidates will have previous experience in compliance within Asset Management or Fund Administration and possess knowledge of MIFID II and AML regulations. Strong attention to detail is...

  • Compliance Officer

    2 weeks ago

    City Of London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is global banking group with offices based in the West End. They offer Corporate banking and Asset management services in the UK market. THE RESPONSIBILITIES: Compliance advisory: assisting with advice on regulatory issues, maintaining compliance framework, training the business in key compliance issues, promoting and measuring high...

  • Compliance Associate – EXCLUSIVE

    2 weeks ago

    City Of London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.THE RESPONSIBILITIES:Support the SMF 16/17 in all investment compliance oversight activities.Assist with compliance monitoring activities, ensuring that relevant...

  • Senior Compliance Manager

    2 weeks ago

    City Of London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a well-known Broker based in the heart of the City, with exciting growth plans. THE RESPONSIBILITIES: Providing advice to the product teams on introduction of new and adaptations to existing products Advising all parts of the business on its obligations under the Consumer Duty and application of its principles and outcomes....

  • Compliance Manager

    1 day ago

    London, United Kingdom ABM GLOBAL COMPLIANCE Full time

    **Leading the Compliance Department to fulfil the client’s requirement as per the Regulatory Guidelines in Specified Time.**: - Develop the AML/KYC policies and procedures for Crypto Assets, Consumer Credit Institutions firms. - Dealing the Regulatory Requirement of Crypto Assets, Consumer Credit Institutions firms Clients. - **Dealing the Application...

  • Compliance Manager

    1 day ago

    London, United Kingdom AJ Fox Compliance Full time

    A well-established, full-service, international law firm are looking for a manager to join their Compliance Team. This role will be working closely with the Director of Compliance to ensure the firm remains compliant with AML and SRA regulations. You will be managing a small team in London and liaising with managers across the other international...

  • Compliance Manager

    5 days ago

    London, United Kingdom AJ Fox Compliance Full time

    **Are you a junior manager looking to step up into a more senior role?** **Are you a team leader looking for your first manager role?** **Do you have experience managing a team of 5 or more?** **Are you a confident communicator with experience liaising with senior internal stakeholders?** If you have answered yes to any of the above we are working on a role...

  • Legal & Compliance Manager - Hedge Funds

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Legal & Compliance Manager - Hedge FundsLegal & Compliance Manager - Hedge Funds1 day ago Be among the first 25 applicantsCompliance Professionals provided pay rangeThis range is provided by Compliance Professionals. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.Base pay rangeTHE COMPANY:Our client is...

  • Customer Success Manager

    2 weeks ago

    City Of London, United Kingdom Sovos Compliance Full time

    Build your future with Sovos. If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionizing how businesses navigate the ever-changing regulatory landscape. At Sovos, we’re dedicated to more than just...