Compliance Manager - Trade Surveillance

Overview

Recruiting Compliance, Legal, and Risk Professionals in London

Company Overview: Our client is an investment management firm based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Compliance Manager to join their Compliance team and contribute to the success and growth of the firm.

Role Overview

As a Compliance Manager, you will play a crucial role in maintaining and enhancing the firm's compliance programme, with a specific focus on surveillance. You will report to the Head of Compliance and will be part of a small team. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.

Responsibilities

• Monitor trading activity to detect potential market abuse
• Maintain working knowledge of regulatory frameworks
• Lead on annual market conduct review and risk assessment
• Support the wall crossing approvals process
• Creating, managing, and enhancing policies and procedures
• Train compliance officers on surveillance procedures
• Maintain and review conduct requirements in the compliance monitoring programme
• Ad hoc project work

Requirements

• Bachelor\'s degree in Finance, Economics, Law, or a related field.
• Substantial experience at an investment bank, broker, exchange, or investment manager mostly in a surveillance function
• Strong knowledge of UK financial regulations and industry best practices.
• Excellent analytical and problem-solving skills with high attention to detail.
• Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.

If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.

For more details, please contact Jon Pettet at jon.pettet@blackswangroup.com

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