THE COMPANY: Our client is a leading global Brokerage firm based in the City. They are looking for a Senior Compliance Manager to support the Compliance function in the design, implementation and maintenance of a risk based compliance framework.

THE RESPONSIBILITIES:

• Compliance oversight and advisory:
  
  
  
  • Provide guidance and objective challenge to the business on the management of compliance risks.
  
  
  • Undertake compliance monitoring activities in line with the Compliance Plan.
  
  
  • Ensure the Compliance framework is robust, effective and appropriately embedded across the organisation.
  
  
  • Produce management information and reporting on the effectiveness of management of compliance risks.
  
  
  • Support the business in implementing changes to processes and procedures arising from new or amended regulatory requirements, including initiatives to enhance the control framework where required.
  
  
  
  


• Governance and committees:
  
  
  
  • Attend committees and forums as required.
  
  
  • Prepare committee papers and updates where necessary.
  
  
  
  


• Business partnership:
  
  
  
  • Act as a trusted advisor to the business while maintaining independent second line compliance oversight.
  
  
  • Provide compliance review and challenge of first line activities and committee papers.
  
  
  • Maintain effective working relationships across the three lines of defence to support a strong internal control environment and clear risk ownership within the first line.
  
  
  
  


• Policies, procedures and training:
  
  
  
  • Review and provide feedback on policies, procedures, frameworks and systems relating to compliance risk management and reporting.
  
  
  • Draft compliance policies and procedures where required.
  
  
  • Prepare and deliver compliance training and maintain appropriate records.
  
  
  
  


• Group and regulatory engagement:
  
  
  
  • Support effective liaison with the ESA Conduct & Ethics Division and other Group Compliance teams.
  
  
  
  


• Data protection responsibilities Supporting the Data Protection Officer, including:
  
  
  
  • Informing and advising the business and its employees on obligations under the GDPR, Data Protection Act 2018 and other relevant data protection legislation.
  
  
  • Monitoring compliance with data protection requirements, including internal data protection activities, data protection impact assessments and staff training.
  
  
  • Acting as a point of contact for the Information Commissioner’s Office and for data subjects.
  
  
  • Maintaining confidentiality in the performance of data protection duties.
  
  
  • Attending Group DPO White Boards on behalf of the DPO as required and sharing best practice.
  
  
  
  

EXPERIENCE REQUIRED:

• Relevant experience in compliance, second line risk oversight or regulatory/compliance advisory roles, ideally within a financial market infrastructure, large financial services firm or regulatory authority.


• Detailed knowledge of Bank of England, PRA and FCA requirements.


• Knowledge of CSDR, CPMIIOSCO Principles for Financial Market Infrastructures.


• Experience of interacting with external regulators and supervisors.


• Strong credibility and independence of judgement, with the ability to influence and challenge effectively.

For further information please contact Hannah Tabatabai