Compliance Manager - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

We are recruiting for growing Institutional Brokerage firm looking to hire a Compliance Manager to assist with the day to day running of a busy compliance function.

Main Responsibilities

Trade monitoring to support compliance with the firm's regulatory monitoring requirements
Assist with the implementation of the new communications monitoring system
Regulatory horizon scanning for changes that impact the business, including both Regulatory & Exchange enquires
Updating regulatory policies and procedures when necessary
Assisting with the implementation of the firm's training plan
Conducting regulatory certification / registration processes in compliance with UK (SM&CR) and US requirements

Job Requirements:

At least 3 years compliance experience in Financial Services, preferably from within a similar institutional brokerage environment
A working knowledge/understanding of commodity derivative products
Knowledge of ICE and CME rules are advantageous

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