Central Compliance Manager

Central Compliance Manager

Location: London, United Kingdom (Hybrid)

Salary: Competitive

Permanent

Are you a Compliance professional looking for an exciting opportunity to make an impact and lead in the finance industry? Our client is searching for a dynamic Central Compliance Manager to join their team.

Role Summary and Department Overview:

As the Central Compliance Manager, you will play a crucial role in overseeing the firm’s Control Room and driving the design and implementation of its compliance monitoring program. You’ll be part of their Compliance Function within the Risk and Compliance Department, reporting to the Head of Investment Banking Compliance.

Responsibilities:

• Understanding the Regulatory Environment: Bring your expertise in compliance, aligned with FCA conduct rules.
• Management of Control Room: Take charge of the Control Room process, ensuring its effectiveness, addressing staff queries, and managing regulatory applications and notifications.
• Compliance Monitoring Program: Design and operate the Compliance Monitoring Program, collaborating with their Risk Management team, conducting routine monitoring, and performing compliance thematic reviews.
• Training and Advice: Offer guidance and training to staff and management, ensuring regulatory and competency requirements are met.
• Policy and Procedure Management: Review and update regulatory policies and procedures to ensure compliance.
• Reporting: Prepare and present regular reports for the Head of Group Compliance and governance committees.

Key Capabilities and Knowledge:

• Experience in investment firms with trading, market making, or capital markets activity is desirable.
• Strong background in compliance monitoring.
• Familiarity with FCA rules and regulations.
• Ability to work independently and collaborate effectively.
• Excellent communication skills, both written and verbal.
• Proficiency in Microsoft Excel and Word is essential.
• Knowledge of Fidessa, Bloomberg, or STOR surveillance systems is a plus.

Apply directly below or email me (connie@weareorbis.com) or Patrick (Patrick@weareorbis.com)