A Senior Compliance Officer is required to play a pivotal role in supporting the Securities business across all aspects of compliance advisory and general BAU second line compliance duties.
Your expertise as a Senior Compliance Officer will help drive regulatory compliance, support strategic business initiatives, and build robust compliance controls while providing advice on complex regulatory matters. The team you’ll be joining is a second-line compliance advisory function.
Key Responsibilities
- Act as the Subject Matter Expert (SME) for equities and or FX
- Provide day-to-day compliance and regulatory advice, ensuring alignment with FCA regulations and other applicable laws.
- Lead the analysis, interpretation, and implementation of relevant laws and compliance regulations, ensuring the business adapts effectively to changes.
- Strengthen and enhance the compliance framework, ensuring robust controls for new business initiatives.
- Represent compliance in key stakeholder discussions, offering strategic input and regulatory guidance.
- Conduct horizon scanning to monitor regulatory developments and ensure proactive compliance measures are taken.
- Support executing the firm’s Compliance Monitoring Programme (CMP), including deep-dive compliance reviews.
Required Skills & Experience
- In a similar compliance advisory role operating at the experienced AVP/manager level or a VP/Senior Manager level, ideally within investment banking, trading houses, or securities trading firms.
- A solid understanding of applicable regulations such as MiFID II.
- Proven ability to interact with senior stakeholders and be a trusted advisor.
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Applicants must be in the UK and eligible to work without sponsorship.
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