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.
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