Senior Compliance Manager

We are currently partnered with a global, Financial Services brokerage firm who, due to continued growth, are looking to add a Senior Compliance Manager to their existing UK Compliance function. This role will have a true generalist nature to it, so will require an individual comfortable working in an agile team and managing multiple workstreams:
  
Key Responsibilities & Accountabilities:

• Ensure compliance with FCA Handbook and relevant regulations such as CASS, MIFID, EMIR
• Foster positive relationships between compliance and front office by delivering Compliance focused training to the business
• Conducting continuous monitoring and reviews of the Compliance Programme and trading activities
• Utilising technology to identify any potential cases of market abuse or other Compliance related breaches
• Being point of contact for the FCA, maintaining records, submitting reports and regulatory filings and developing the relationship
• Establishing solid first line KYC and AML processes for the onboarding of clients and conducting ongoing due diligence for existing clients

  
Knowledge, Technical Skills & Competencies required:

• Minimum 4 years Compliance experience within a regulated trading firm, ideally with a FX/CFD background
• Sound and up to date knowledge of current UK regulations along with MiFID II, MiFIR & EMIR rules
• Ability to communicate effectively with stakeholders of all levels to promote the Compliance culture from within
• Comfortable working autonomously on numerous projects at any given time

  
If you possess the relevant regulatory knowledge and experience, and are looking to further your career in a growing, global business, please apply now. For more information, reach out to shane.cassidy@coopman.uk.
  
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