Compliance Director

Experis Engineering
85000.00 GBP Annual + Bonus + Benefits
17 Oct 2016
21 Oct 2016
Contract Type
Full Time

Compliance Director

??85,000 + 20% Bonus - Canary Wharf

We are looking to recruit a Compliance Officer to work on a permanent basis for a market leading global business based in Canary Wharf, Central London.

The organisation is a global business information services and media organisation who work within the financial and risk, legal, tax and accounting, intellectual property and media markets. The role of the Compliance Director will be working as part of the Financial & Risk (F&R) division which provides solutions to the global financial community - delivering critical news, information and analytics, enabling transactions and connecting communities of trading, investing, financial and corporate professionals, through their market leading software.

The Compliance Director role located in London will report into the Compliance Director - Head of Equities in New York. This role will be responsible for providing strategic oversight, pragmatic management, first class regulatory guidance and advice to ensure the firm's operations are conducted in compliance with regulatory expectations, requirements and obligations

While working closely with the Global F&R Compliance team and other members of the Governance framework, the Compliance Director must also be connected to, and be responsible for managing the day to day relationship with relevant regulators compliance advisor, whilst also dealing with senior stakeholders.

Key Responsibilities

  • Provide regulatory support and guidance to the Equities business in EMEA/APAC.
  • Develop, maintain, and enforce regulatory policies, processes and procedures.
  • Actively monitor regulatory developments and trends for the Equities business in EMEA/APAC, and take appropriate action to assist the business in complying with new or amended regulations.
  • Conduct impact assessment and serve as primary contact for the business for exchange traded instruments components of MIFID2.
  • Support the firm's anti-money laundering program and customer on-boarding process.
  • Ensure regulatory filings and reports are made in a correct and timely fashion.
  • Conduct and document regular testing and monitoring of controls and procedures.
  • Oversee the planning and preparation of exams and audits (both internal and external).
  • Develop, implement and conduct compliance training programs.
  • Ensure effective management of relationships with relevant EMEA/APAC (and other relevant global) regulators.

Technical/Professional Skills & Competencies:

Essential Skills:

  • Regulatory experience within an exchange, trading venue, investment bank or a regulated financial institution or experience gained at either the FCA or one of the primary regulators.
  • Degree or relevant industry qualifications
  • Proven strong working knowledge of applicable UK/EMEA/APAC regulatory rules (particularly FCA, HKMA, HKSFC, ASIC, JFSA) but also other regulatory bodies' obligations and requirements.
  • Firsthand understanding of FCA compliance frameworks and programs.
  • Knowledge of trading systems in particular the technical aspects of order management or execution management systems.
  • Excellent analytical and organizational skills with strong attention to detail.
  • Strong presentation and communication skills.
  • Ability to influence decision making and practical implementation of regulatory strategies and practices.
  • Ability to negotiate and resolve issues with meaningful solutions both internally and externally.

Similar jobs

Similar jobs