At a Glance
- Tasks: Lead compliance initiatives and ensure robust risk management in a dynamic brokerage environment.
- Company: Join a top global Brokerage firm in the heart of the City.
- Benefits: Competitive salary, professional development, and a supportive work culture.
- Other info: Collaborative team atmosphere with opportunities for career advancement.
- Why this job: Make a real impact on compliance and data protection in a fast-paced industry.
- Qualifications: Experience in compliance or regulatory roles, with strong knowledge of financial regulations.
The predicted salary is between 70000 - 90000 £ per year.
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.
Compliance Senior Manager - Data, Personal Data, Compliance Risks employer: Compliance Professionals
As a leading wealth management firm in Greater London, we pride ourselves on fostering a collaborative work environment that prioritises compliance excellence and professional growth. Our commitment to employee development is reflected in our comprehensive training programmes and supportive culture, making us an ideal employer for compliance professionals seeking meaningful and rewarding careers in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Senior Manager - Data, Personal Data, Compliance Risks
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field, especially those who work in financial services. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and frameworks. Be ready to discuss how you've tackled compliance risks in the past – real-life examples will make you stand out!
✨Tip Number 3
Don’t just apply and wait! Follow up on your applications through our website. A quick email or call can show your enthusiasm and keep you on the radar of hiring managers.
✨Tip Number 4
Showcase your soft skills! As a Compliance Senior Manager, you'll need to influence and challenge effectively. Highlight your ability to build relationships and communicate clearly during interviews.
We think you need these skills to ace Compliance Senior Manager - Data, Personal Data, Compliance Risks
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Senior Manager role. Highlight your relevant experience in compliance and risk oversight, and don’t forget to mention any specific knowledge of regulations like GDPR or FCA requirements.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for this role. Mention how your previous experiences align with the responsibilities listed in the job description, especially around compliance monitoring and advisory.
Showcase Your Soft Skills:In compliance roles, soft skills are just as important as technical knowledge. Make sure to highlight your ability to influence and challenge effectively, as well as your experience in building strong relationships across teams.
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensure it gets the attention it deserves!
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those related to the Bank of England, PRA, and FCA. Being able to discuss these confidently will show that you're not just familiar with the basics but can also provide valuable insights.
✨Prepare Real-Life Examples
Think of specific instances where you've successfully managed compliance risks or improved a compliance framework. Use the STAR method (Situation, Task, Action, Result) to structure your answers. This will help you demonstrate your experience effectively.
✨Show Your Advisory Skills
Be ready to discuss how you've acted as a trusted advisor in previous roles. Highlight your ability to challenge the business constructively while maintaining strong relationships. This is key for a Senior Compliance Manager role.
✨Engage with Data Protection Knowledge
Since data protection is a big part of this role, make sure you can talk about GDPR and the Data Protection Act 2018. Be prepared to discuss how you've monitored compliance and trained staff in the past, as this will be crucial for the position.
