It can be difficult as a financial markets expert to step up in your role, or to find a new challenge in the market. This is an opportunity to move into a challenging role at the cutting edge, while improving your career path. Our client is a giant in the financial markets space, and is home to some of the compliance community's best people.
You will lead for a team of analysts responsible for keeping market participants compliant, and your role could include:
- Supporting the GM in overseeing participant compliance with various regulatory requirements and operating rules
- Managing the compliance relationship between the group and its participants
- Continuing to develop and implement frameworks, processes and initiatives that reflect current and emerging approaches to risk and compliance to ensure the business meets its regulatory obligations
- Managing the assessment process of applications for admission as a participant for conformity with the group's requirements
- Leading and managing end-to-end activity relating to breaches, from monitoring to remediation
- Managing risk and developing regulatory resposnes as the landscape changes
- Designing and roll-out of training programmes, as well as championing positive risk and compliance culture
- Owning key regulator relationships
The Ideal Candidate
This role would suit a results-orientated compliance leader, with a strong track record in financial markets. In order to succeed, you'll need to demonstrate:
- Significant sector experience, and an understanding of clearing and settlement facilities
- Practical understanding of participant compliance, from systems to operations
- Strong regulatory compliance exposure
- Leadership skills, and first-hand team management experience
Other things that are likely to be incredibly useful are:
- Policy-drafting skills
- Compliance training skills, from inception to presentation and monitoring
- Data analytics skills
- Audit skills, or exposure to quality assurance / controls testing
Essentially, our client is looking for an effective relationship manager, an excellent communicator, and someone with knowledge of the mechanics of financial markets. If this sounds like you, we'd love to hear from you.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.