Compliance Supervisor - 9 months FTC in London

Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.

Job purpose: To support the continuing development of this highly successful business. Reports directly to the Director, Central Compliance. Provides support across all areas of Central Compliance; trade surveillance, communications surveillance, policies, training, Control Room, Employee Compliance, Exchange Enquiries & Entity Servicing. The aim of the role is to help the establishment and roll out of the function to improve the Firm’s overall Compliance programme. This will involve project work, ensuring synergies between different legal entities, efficiencies in processes, vendor interactions, risk mapping, creating appropriate documentation and other tasks relevant to achieving the aims of the function.

Responsibilities

• Helping prepare meetings, agendas and minutes for functions within the remit of Central Compliance.
• Assisting in the relationship management with vendors.
• Preparing and managing governance documentation including management information, procedures, terms of reference etc. to ensure they’re always up to date, agreed, and fit for purpose.
• Helping collate and organise training schedules and tracking.
• Mapping and coordinating policies across legal entities and ensuring consistent standards. This will involve helping to draft/edit policies.
• Helping establish controls around managing inside information, including wall crossing, deal logging and restriction strategy.
• Helping coordinate the employee compliance programme, including controls around personal account dealing, outside business interests and conflicts of interest, ensuring a consistent approach and centralised documentation through one vendor system.
• Helping coordination of the global trade and communications surveillance programme, ensuring consistent standards are applied and risks mitigated.
• Providing support to global colleagues on all aspects within the remit of Central Compliance.

Qualifications

Knowledge and Experience

• Minimum five years’ relevant experience.
• Familiarity with financial services regulations.
• Demonstrated ability working with people in connection with challenging issues.
• Strong organization skills along with attention to detail.
• Demonstrated proficiency using Microsoft Office.
• Experience with AI functionality preferred to drive efficiencies.
• Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment.
• Skilled in researching, interpreting and disseminating information on compliance regulations and laws.
• Ability to work independently.

Qualifications

• Essential: Fluency in business English
• Preferred: University degree/Professional Compliance Qualification

Skills

• Ability to deliver projects/tasks on time and with the expected quality/substance.
• Ability to work accurately, thoroughly, reliably and with attention to detail.
• Ability to build relationships with key stakeholders and front office desks.
• Ability to communicate at all levels of the Firm and contribute to the wider operation of the Compliance Department.
• Strong analytical abilities, able to conduct “forensic” reviews.
• Commercial awareness.
• Team player.
• Ability to work independently and prioritise multiple tasks.
• Computer competency, including Microsoft Outlook/Word/Excel.

Working environment: Hybrid Fixed term Contract 9 months.