Compliance Manager

London  ‐ Onsite
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Description

Role: Senior Compliance Manager
Location: London - Canary Wharf
Rate: Competitive
Duration: 6 months

Overview:
Our client is a global financial services company focused on helping clients manage and service their financial assets, operating in 36 countries and serving more than 100 markets. Our client is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.

Team Description: (Overview of the team)

The Markets Group, comprising Global Markets, Global Collateral Services and Prime Services and focuses on the delivery of global currency, hedging, Fixed Income, equity investment or underwriting opportunities, securities finance and collateral management services to our clients across the EMEA/Asia-Pacific region.

Job Purpose: (What the job role involves)

In order to support sustainable delivery of these products and services we require a Compliance Manager who will play a key role in supporting the day-to-day running and management of compliance activities across the EMEA/APAC from London.

Responsibilities: (Key parts to the job role)

*To take primary responsibility for all Capital Markets EMEA Ltd compliance related issues;
*To undertake regular surveillance of daily and periodic electronic communications of both FX and Capital Markets trading activities in London and possibly EMEA, identify possible breaches, and resolve directly with business lines or escalate as appropriate;
*Document results of such monitoring;
*Design and implement KRI around results of surveillance and develop MI and statistical analysis;
*Be able to lead in the design and delivery of face-to-face training of capital markets and FX staff in London of policies/procedures/new regulation, to complement corporate on-line training;
*To deputise for the Head of Compliance Markets Group EMEA/APAC as directed;
*Understand deals and transactions being undertaken and services offered by Global Markets and in particular, be aware of and able to communicate professionally the potential regulatory and compliance issues arising from these products/services;
*Assist in the identification and implementation of key risk indicators which will enable the business to monitor their compliance/conduct risks and take corrective action where appropriate;
*As directed to attend local risk and product/service for a to ensure compliance matters are raised and addressed and businesses are suitable challenged;
*Ensure that local personnel licensing requirements are met under FCA regime;
*Work with Compliance to implement and embed Group wide policies ( incl. AML and Sanctions requirements);
*Suggest improvements in process and controls to the Head of Compliance EMEA/APAC to support and control the information flows with the businesses.

Key Deliverables:

*Support Capital Markets EMEA Ltd by providing advisory support; to the equity and Fixed Income broking business activities;
*Lead on daily surveillance activities;
*Design and deliver training on key policies and procedures;
*Assist with the design and implementation of Compliance MI for Capital Markets and FX businesses to enable key risks to be identified.
*Prepare a deliver monthly updates to, inter-alia, Operating Committee.

Key Deliverables:

*Ideally degree level qualification
*Industry compliance qualifications
*Record of designing and delivering business focussed training eg. market abuse/conflicts of interest/complaints.
*Experience of designing and delivering a surveillance capability across capital markets/Fixed Income in EMEA.
*Business knowledge:
*A good knowledge of equity/Fixed Income and FX broking/trading activities.
*A proven track record gained within a comparable securities environment, of being able to interpret and assess local regulatory requirements as these may apply to Global Markets activities.
*Strong analytical skills and detail focussed;
*Ability to influence across peer groups
*Proven capability of working in a Matrix environment and reporting structure
*Ability to think pragmatically and proactively suggest solutions
*Team player and flexible in a fast paced environment.
*Strong relationship management skills
*Articulate and able to represent GM Compliance to senior business personnel with confidence

Hy-phen Limited is acting as an Employment Business in relation to this vacancy.

The Adecco Group UK & Ireland is an Equal Opportunities Employer.

Start date
ASAP
Duration
6 months
From
Hyphen
Published at
27.10.2015
Project ID:
1008508
Contract type
Freelance
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