At a Glance
- Tasks: Lead global compliance oversight and collaborate with regional teams to ensure regulatory adherence.
- Company: Join a top independent Brokerage firm known for its dynamic work environment.
- Benefits: Enjoy competitive pay, flexible working options, and opportunities for professional growth.
- Other info: Engage in exciting compliance projects and contribute to industry initiatives.
- Why this job: Make a real impact in compliance while working with diverse teams across the globe.
- Qualifications: 8-10 years of compliance experience in financial markets, with strong analytical and communication skills.
The predicted salary is between 43200 - 72000 £ per year.
- Provide centralised global corporate oversight of engagement. Collaborating and coordinating with regional CCO’s to ensure the interaction and engagement with Group partners to provide the necessary support and coordination of appropriate controls, Code application to processes, Normative control governance, management reporting and 3LoD engagement.
- Proactively maintain relationships and open communication with, and actively promote Compliance within business lines and other control functions.
- Maintain active awareness of latest new or upcoming regulatory changes and to provide first line Compliance advice and guidance to trading and research businesses, technology and operations teams to ensure compliance with applicable laws and regulations, Compliance policies.
- Proactively maintain the compliance risk framework, ensuring that the inherent regulatory risks posed by business activity are determined, the mitigating factors are considered, and further mitigants are implemented to negate the residual risk.
- Liaise with Compliance staff in Paris, New York and Asia as required, and provide guidance to Compliance colleagues on the interpretation of the FCA and EU regulatory regimes and the UK/EU based Exchange rulebooks which apply to staff based overseas who actively trade in UK/EU markets.
- Active engagement and liaise with the Compliance surveillance team responsible for day-to-day transaction monitoring in relation to exchange enquiries and periodic Compliance Risk desk-based reviews of the firm’s Business Lines, ensuring appropriate support and guidance in the development of product knowledge within the Compliance Monitoring Team, and assisting the Monitoring Team with Desk Reviews and completion of enquiries arising from the routine monitoring.
- Provision and coordination of management reporting to support the Compliance programme and associated risks.
- Proactively support the CCO and MLRO in the management and performance monitoring of tasks through outsourced services, including financial crime, surveillance and conflict management.
- Actively contribute to the Compliance Risk Assessment to ensure the CRA appropriately identifies the regulatory risks. Contributed to the development and undertake control reviews supporting the Compliance Risk Assessment to evidence the Compliance Monitoring Programme.
- Develop and deliver appropriate regulatory training to staff using technology, face-to-face, one-to-one and classroom methodologies, as appropriate.
- Actively participate, and where required, lead in investigations into incidents arising within the firm to provide regulatory input. Participation in the investigation of, and response to complaints arising concerning issues within the business line. Ensure timely and accurate responses to regulatory enquiries and liaise with internal groups to obtain information.
- Participate in the impact analysis of regulatory/exchange consultation documents with Compliance and Legal, communication of requirements to business line management as required, and ensuring the implementation of any developments arising within the business lines.
- Ensuring timely and accurate responses to regulatory and exchange enquiries and liaising with internal groups to obtain information, as well as production of appropriate Management Information.
- Actively lead and participate in Compliance Projects, to support the co-ordination and management of projects by the Chief Compliance Officer.
- Proactive and timely escalation of issues to the Chief Compliance Officer, ensuring regular and frequent communication on such issues.
- Involvement in the delivery of items in the annual Compliance Plan, as determined by the Chief Compliance Officer, which are relevant to the coverage of the team, in a timely manner.
- Attendance and participation in initiatives driven by trade associations and other industry bodies, ensuring that Business views on regulatory developments which could impact on its business in the UK are provided as part of any consultation initiatives.
- Proactively engage in the development and performance of Permanent Supervision Controls as allocated to Compliance.
- 8 -10 years equities Compliance Advisory experience
- Strong experience in Financial Markets – particular strengths in cash market activities clearing/settlement, normative control frameworks, governance and controls, would be an advantage
- Good working knowledge of FCA and European regulatory requirements/standards
- Critical eye and an analytical mind is essential
- High capacity to adapt constantly
- Excellent communication skills, both written and verbal, confident when interacting with employees at all levels
Senior Compliance Advisory & Global Corporate Oversight in London employer: Compliance Professionals
As a leading independent Brokerage firm, we pride ourselves on fostering a dynamic and inclusive work environment that prioritises employee growth and development. Our commitment to compliance excellence is matched by our dedication to providing comprehensive training and support, ensuring that our team members are well-equipped to navigate the complexities of the financial markets. Located in a vibrant city, we offer competitive benefits and a collaborative culture that encourages innovation and open communication, making us an exceptional employer for those seeking meaningful and rewarding careers in compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Advisory & Global Corporate Oversight in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Compliance Professionals looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Compliance Advisory & Global Corporate Oversight in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Professionals. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Professionals
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Professionals’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
