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For Companies At a Glance
- Tasks: Provide strategic compliance advice and lead monitoring plans in a dynamic financial environment.
- Company: Reputable international Capital Markets firm with a focus on commodities.
- Benefits: Competitive daily rate, flexible contract, and valuable experience in Risk & Compliance.
- Why this job: Join a professional team and make a real impact on compliance initiatives.
- Qualifications: Proven compliance expertise and strong knowledge of UK regulations and LME requirements.
- Other info: Opportunity for career growth and to work in a vibrant London setting.
Seeking a Snr Compliance Advisory specialist who is available at short notice. Compliance advisory opportunity within an international Capital Markets firm.
About Our Client
The organisation provides execution and clearing services for commodities, specifically acting as a Dealing Member of the London Metal Exchange (LME).
Job Description
- Provide strategic regulatory and compliance advice to business leaders and senior management, ensuring clear interpretation of relevant rules, emerging risks, and regulatory expectations.
- Lead the delivery of the Compliance Monitoring Plan, including planning, execution, reporting, and preparation of high-quality management information.
- Oversee the implementation and ongoing management of the SMCR certification process and all related governance frameworks.
- Conduct comprehensive Compliance Risk Assessments and Financial Crime Risk Assessments, identifying key risks and advising on appropriate mitigating actions.
- Review, update, and maintain policies and procedures to ensure full alignment with applicable regulations, including the rules and requirements of the London Metal Exchange (LME).
- Develop and deliver compliance training initiatives, including the creation of engaging training materials and the delivery of sessions on relevant regulations, policies, and obligations.
- Monitor regulatory developments, assess their impact on the business, and ensure timely communication and implementation of required changes.
- Oversee Third-Party Risk Assessments, ensuring appropriate due diligence, monitoring, and management of external partners and service providers.
- Test the design and operational effectiveness of internal controls, identify vulnerabilities, track remediation actions, and follow up to ensure timely and effective resolution.
- Investigate and resolve escalation alerts arising from surveillance and monitoring activities, ensuring appropriate escalation and remediation.
The Successful Applicant
- Proven expertise in compliance advisory within the financial services industry.
- Strong knowledge of UK regulatory frameworks and requirements.
- Strong knowledge of rules and requirements of the London Metal Exchange (LME).
- Experience in Risk & Compliance functions.
What's on Offer
- Competitive daily rate ranging from £500 to £600.
- Opportunity to work within a reputable financial services organisation in London.
- Chance to contribute to key compliance initiatives within a professional team.
- Temporary contract providing flexibility and valuable experience in Risk & Compliance.
If you are an experienced Senior Compliance Advisory professional looking for a challenging role in the financial services industry, apply today to join a dedicated team in London!
Senior Compliance Advisory - Contract - Capital Markets in City of London employer: Michael Page (UK)
Contact Detail:
Michael Page (UK) Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Advisory - Contract - Capital Markets in City of London
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join online forums, and don’t be shy about reaching out on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can land you that dream job.
✨Ace the Informational Interview
Set up informal chats with professionals in compliance or capital markets. These conversations can give you insider info and might even lead to job opportunities. Plus, it shows your genuine interest in the field, which we all love to see!
✨Showcase Your Expertise
When you get the chance to meet potential employers, make sure to highlight your knowledge of UK regulatory frameworks and the LME. We want to see how you can bring value to their team, so don’t hold back on sharing your insights and experiences.
✨Apply Through Our Website
Don’t forget to check out our website for the latest job openings! Applying directly through us not only makes it easier for you but also helps us keep track of your application. Let’s get you that Senior Compliance Advisory role!
We think you need these skills to ace Senior Compliance Advisory - Contract - Capital Markets in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Advisory role. Highlight your relevant experience in compliance advisory and your knowledge of UK regulatory frameworks, especially those related to the London Metal Exchange.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this role. Share specific examples of how you've provided strategic regulatory advice or led compliance initiatives in the past.
Showcase Your Skills: Don’t forget to showcase your skills in risk assessments and compliance training. We want to see how you’ve successfully managed compliance risks and delivered engaging training sessions.
Apply Through Our Website: For the best chance of success, make sure to apply through our website. It’s the easiest way for us to review your application and get back to you quickly!
How to prepare for a job interview at Michael Page (UK)
✨Know Your Regulations
Make sure you brush up on the UK regulatory frameworks and the specific rules of the London Metal Exchange (LME). Being able to discuss these in detail will show that you're not just familiar with compliance, but that you understand the nuances that are crucial for this role.
✨Prepare Real-World Examples
Think of specific instances where you've provided compliance advice or led a compliance initiative. Be ready to share how you identified risks, implemented solutions, and what the outcomes were. This will demonstrate your hands-on experience and problem-solving skills.
✨Showcase Your Training Skills
Since part of the role involves developing and delivering compliance training, be prepared to discuss any training initiatives you've led. Highlight how you made complex regulations engaging and accessible for your audience, as this will reflect your ability to communicate effectively.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance culture and how they handle emerging regulatory changes. This shows your genuine interest in the role and helps you gauge if the company aligns with your values and work style.
