Compliance Manager

Our client, an international brokerage firm, is hiring a compliance manager to be based in London. Reporting to the Head of Compliance, this sole contributor role will:


• Provide all round compliance support and ensure compliance policies and procedures are up to date and complied with.
• Be the internal go to person for day-to-day compliance advisory questions and to be the trusted adviser for business units and the management team.
• Update business units on an ongoing basis on regulatory change and interpretation.
• Collaborate and maintain good relationships with colleagues and external parties.
• Be the compliance specialist in the project team(s) for the more complex regulatory driven implementations, e.g. Mifir/EMIR reporting requirements.
• Assist with the implementation and management of the compliance risk based monitoring plan.
• Support and guide the business units with implementation of solutions and ensure actions are tracked to completion.
• Advise Management on regulatory control matters.
• Provide accurate and concise management information reporting.
• Advise front office and sign off on trading and regulatory issues.
• To conduct employee compliance related training, including inductions, product education and periodic refreshers.
• Implement the SMCR certification process and its all related framework
• Manage the standard compliance registers including but not limited to gifts/entertainment, on line training, outside business interests and annual declarations.

To qualify, you must be an experienced compliance professional, ideally with brokerage firm experience with the following experience and exposure:

• Practical knowledge of the commodities derivative market, essentially base metals, OTC commodities and FX markets.
• Strong knowledge of the regulatory requirements of LME and EMIR,MiFID2, SMCR, IFPR and Dodd Frank.
• Strong knowledge of rules and guidance in respect of Due Diligence for corporate entities.
• Practical experience of FCA rules including Conduct of Business Sourcebook (COBS), Senior Management Arrangements, Systems and Controls (SYSC), Market Conduct (MAR) and Supervision (SUP).
• Proactive in refining and enhancing policies and procedures to support the business as it expands.
• A team player, you must be able to work discreetly and maintain confidentiality.
• To regularly engage with front office colleagues and agents as well as regulatory bodies.