We are recruiting for an expanding Global Brokerage firm looking to hire Senior Compliance Officer in their Central Compliance Team to support the Group Compliance Function and assist the Head of Central Compliance with the management of Compliance deliverables across the Central Compliance
- Oversee SM&CR framework for the firm’s regulated entities including managing internal policies and procedures.
- Assisting SMFs in maintaining and managing regulatory documentation, including Statements of Responsibilities, Fitness & Propriety assessments, SM Handover documentation, etc
- Working with Compliance Advisory teams, business, and HR to advise on regulatory registrations and learning and development requirements (e, g. SM&CR Certification, NFA registrations and exchange registrations)
- Assist with the management of Compliance deliverables across Central Compliance
- Assisting with Compliance related projects to enhance and develop the overall Compliance Framework (policies and procedures) including all aspects of MiFID.
- Prepare and submit regulatory filings and individual and firm applications (i.e. SMF applications, Certification notifications, firm authorisations, variation of permission applications, etc)
- Identifying employee compliance training needs and managing the implementation.
- Monitoring of regulatory developments and managing responses to emerging trends and changes of regulatory rules
- Extensive compliance experience from a bank, brokerage or listed derivative exchange
- Previous SMCR & Registrations experience from a similar Brokerage environment (or other regulated firm)
- Strong knowledge and understanding of regulatory frameworks.
- Experience in leading and liaising with Exchanges and Regulators an advantage
- Excellent attention to process and detail
Unless otherwise stated, candidates must have the right to work in the UK.
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