THE FINANCIAL SERVICES COMPANY:
You will join a highly reputable, well known financial services institution which holds a market leading presence in its sector. Year on year this firm has experienced growth and will offer you a secure, challenging and rewarding working environment alongside the opportunity to further develop your experience.
This role has responsibility for looking after a small team focused on central compliance activities. There is long term growth planned and the opportunity for the role to develop in scope. This job has a broad remit covering regulatory advisory, regulatory liaison, regulatory developments, monitoring & testing, policies & procedures, and training.
You will be part of the part of the management team and must be comfortable facing off to board members and the senior leadership team relating to regulatory and compliance matters.
Some responsibilities include:
- Building and maintaining relationships with European regulators including the FCA and ESMA
- Developing and maintaining compliance policies & procedures, risk assessments and control frameworks
- Designing an effective compliance framework to monitor effective compliance across the business and a range of financial products
- Building a regulatory risk programme to assess risk and controls
- Supporting regional and global compliance projects to maintain an excellent culture of compliance
- Supporting with the filing of regulatory registrations, licences and exams to the regulators
- Developing the compliance monitoring and testing plan and working with the business by advising them with recommendations and enhancements
- Conducting compliance oversight across the business
- Acting as a regulatory advisor and keep the business & board up to date about upcoming regulatory change
- This role will involve some occasional European travel
- You will have previously gained strong regulatory knowledge and experience gained working in a central compliance function
- Strong knowledge of UK & EU regulations and knowledge of Interest Rates, FX, Indices and Benchmarks is highly advantageous
- Strong knowledge of financial markets products is essential
- Relationship management skills are essential so previous demonstrable experience working with board members and the regulators is key
- Educated to degree level with relevant industry experience
- Previous experience managing and developing a team is desired
- Prior legal qualifications and experience is preferred
If you feel you have the relevant experience for this newly created opportunity, please apply to this advert and send your CV to Emily Marmoy-Haynes at Twenty Recruitment.
Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Financial Crime Compliance, Regulatory Compliance & Operational Risk mandates, both permanent and temporary, across Financial Services, Technology and Energy.