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Senior Compliance Manager

  • Location: London
  • Salary: £70,000 - £100,000
  • Job type: Permanent
  • Job reference: NE172708
  • Sector: Banking , other Financial Services
Job Description

Spreadbetting & trading firm

Senior Compliance Manager (deputy HOC)

London

£70,000 - £100,000

My client is looking for an experience compliance manager to join their team to focus on the regulatory compliance risks and upcoming regulation as it affects the business. This will be a management position and will deputise for the head of compliance

Scope and undertake regulatory projects with senior stakeholders, advised on and implemented MiFID II change and ESMA’s first product intervention measures 
Provide responses to regulatory consultations and data requests, apply for variation of permissions, waivers, SIF approvals
Work with industry peers on an aligned approach to projects to implement new regulation
Proactively identify gaps, weaknesses and greater efficiencies in the course of mitigating regulatory risk
Train staff in best practice, regulatory topics, share knowledge and act as mentor to junior team members
Approve new business relationships, product governance on new products 
Projects undertaken include development of metrics to review and analyse in the monthly TCF meeting, conduct risk guidance for the Board, six month project with front office to reclassify all eligible active clients, creation of a target market and distribution strategy for company products products, application for authorisation for a new subsidiary in the DIFC, RTS 28 reporting, risk integration and algorithm framework, design of online client appropriateness and knowledge test, creation of OEPs for new ‘DMA’ products, client DD questionnaire for algorithm use and PRIIPS Key Information Documents
Conduct business area reviews according to risk based monitoring plan, document and evidence findings, meet with respective department heads, agree actions and timeframes for weakness identified: TCF, CASS RP, market commentary, approved persons, transparency of costs, marketing affiliates and unregulated introducers, regulated
Introducing brokers and counterparties, outsourcing policy and material outsourcing
Investigate and respond to serious complaints escalated to the financial ombudsman or regulators
Investigate and document employee behaviour
Line management responsibility for three team members
Deputise for the Head of Compliance

 

Please contact me with your CV for more information ne@barclaysimpson.com

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