My client a prestigious investment brokerage who are currently looking for experienced Compliance Associate Director to lead their Compliance department. This role will incorporate daily compliance/risk duties across the business and will also be co-leading an ongoing MiFID II project/EMIR and Senior Management regime. The business offers their globally based clients brokerage, investment advisory, safekeeping and administration services to international individual and institutional clients.
Having experience working across Asset Management/Wealth management space at a boutique business previously holding the CF10 / CF11 function is highly advantageous to your application. Alternatively, having previous exposure to Fixed Income, OTC, Commodities and Equities or have worked within a brokerage / investment advisory also advantageous.
- Knowledge and understanding of the requirements for MiFID II/EMIR and Senior Management Regime.
- Strong MiFID II knowledge, especially around trading and market structure (MTF, OTF, OR SI)
- Ability to draft the necessary policies and procedures to reflect the new requirements or to update existing policies.
- Supporting the training of staff at all levels.
- Working closely with other teams, Operations and front office.
- Liaise with and provide guidance to the front office on compliance issues.
- Prepare reports for management giving independent and objective assurance on adherence to regulatory standards and on the effectiveness of controls in place.
- Provide a regulatory advisory service to the business on regulatory requirements.
- Prepare compliance board reports.
- Monitor changes in business practices and products to ensure that compliance procedures and controls are adequate to cover them.
- Maintain the firm's Compliance manual & AML Procedures and ensure that they are effectively communicated.
- Assist with Risk Management issues e.g. identifying and completing Operational Risk events.
- Ensuring that regulatory reporting and filing is completed accurately via Gabriel and other filing conduits.
- Maintain professional development.
- Knowledge and Expertise in aspects of regulatory regime such as CASS requirement
- Asset Management
- Compliance Monitoring
- Fixed Income
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