Senior Compliance Officer

  • Location
    City Of London, Greater London
  • Category
    Engineering - Research & Development
  • Contract Type
  • External Reference
  • Salary
    140000 £ - 150000 £ / Year

Senior Compliance Officer

OA Executive has partnered with a rapidly growing financial services business who having been established for almost 20 years now have offices across the UK, Europe, America and Asia. They are currently looking to recruit a Senior Compliance Officer to be based from their London office, who can take responsibility for managing the compliance function for their UK and European operations.

Joining their collaborative team who embrace a culture of working together, this role seeks a proactive individual who enjoys leading teams but can also work independently. Reporting to the Global Head of Compliance, you will be responsible for the following:

 Develop and maintain compliance policies and procedures
 Routinely audit the compliance program to ensure the business is meeting its responsibilities
 Act as the primary point of contact for the entity's regulator
 Research new rules and laws to ensure the business implements reasonable and effective compliance programs
 Respond to inquiries from regulators and trading venues
 Complete regulatory filings in a timely manner
 Conduct compliance risk assessments and monitoring, report on findings, provide recommendations and implement changes where appropriate
 Review alerts generated by the surveillance system and advise on any changes to reports as required
 Develop and deliver compliance training
 Monitor regulatory developments and communicate applicable details to relevant teams within the group
 Provide compliance advice on trading and business initiatives

This organisation is seeking a bright and motivated individual for this position, someone who has sound knowledge of UK and European regulation and understands the requirements for algorithmic trading. You will possess a proven background in trading compliance and as such will have experience of dealing with the FCA and will have strong knowledge of equity and derivative trading venue market rules.

This role will suit an individual who can communicate effectively at all levels, has excellent attention to detail as well as the ability to work independently whilst also leading a team. You must be comfortable working in a technical environment and will be able to multitask and prioritise multiple projects at once.

In return this organisation offers excellent benefits including company wide all expenses paid annual trips, free breakfast and lunch in the office daily, subsidised gym memberships, a contribution pension scheme and a laid-back and dynamic working culture.

If you have read the above with interest and wish to be considered, please submit your CV today.

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