Responsibilities
- Develop and maintain compliance policies and procedure
- Routinely review the compliance program to ensure the firm is meeting its responsibilities
- Act as the primary point of contact for the entity's regulator
- Ensure you are keeping up-to-date with all new regulations
- Respond to inquiries from regulators
- Complete regulatory filings in a timely manner
- Conduct compliance risk assessments and monitoring, report on findings, provide recommendations and implement changes where appropriate
- Review alerts generated by the surveillance system and advise on any changes to reports as required
- Develop and deliver compliance training
- Monitor regulatory developments and communicate applicable details to relevant teams within the group
- Complete other ad hoc tasks or projects as assigned
Requirements
- Significant compliance experience working within an FCA regulated environment
- Strong knowledge of UK and European regulation and market structure
- Good knowledge of UK and European equity and derivative trading venue market rules
- Ability to effectively communicate at all levels within the organisation
- Excellent verbal and written communication skills with particular attention to detail
- Ability to work independently, with judgement to involve management when required
- Ability to multitask and prioritise multiple projects
- Must be comfortable working in a technical environment
- Bachelors degree (law or business prefered) or comparable experience
- Strong communication skills, written and verbal