Compliance Manager

  • Location

    City of London, London

  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:

    £60000 - £70000 per annum

  • Contact:

    Will Goodman

  • Contact email:


  • Job ref:

    MANGER COMPL_1623851077

  • Published:

    6 months ago

City based Clearing House, are looking to recruit a Compliance Manager, to contribute to the Compliance team's objective of ensuring that the company complies with its regulatory and exchange obligations. In this position, you'll be assisting the Global Head of Compliance, Trade Surveillance & Financials Crime in ensuring that the Company operates in accordance with all relevant regulatory obligations.

Main responsibilities of the Compliance Manager will include;

  • Undertaking and overseeing periodic AML reviews of client files in accordance with the Company's AML policies and procedures
  • Responsible for ensuring all new customers fulfil the company on-boarding policies and procedures
  • Taking responsibility for the ongoing maintenance, development and accuracy of the Company's Compliance Datavault
  • Working with the Global Head of Compliance, Trade Surveillance & Financial Crime in her capacity as MLRO to assist in day-to-day AML matters as well as assisting with the annual MLRO report
  • Corresponding, where appropriate, with clients to resolve account application questions and issues relating to AML and KYC issues
  • Assisting, where appropriate, with the preparation of Management Information
  • Identifying, Evaluating issues/concerns and appropriately escalate to Global Head of Compliance whilst offering up suggestions to mitigate such issues, concern
  • Tracking agreed remedial actions through to conclusion
  • Deliver Compliance induction training for all new employees and ad hoc training as and when required
  • Manage the Compliance training system and administer training courses for new and existing employees
  • Maintaining and implementing necessary Policies, Procedures and Processes in accordance with the company's statutory and regulatory obligations and keeping them up to date
  • Carrying out ad-hoc regulatory audit reviews
  • Taking ownership of any given task, ensuring they are undertaken professionally, to high standards and delivered within the agreed timeframes
  • Provide regular guidance, support and assistance to global Compliance teams
  • Responsible for certain regulatory and exchange reporting requirements
  • Responsible for overseeing the Company's Compliance Diary/Compliance Monitoring Plan

To be considered for the Compliance Manager position, ideal candidates must have the following experience and skills;

  • Experience of client on-boarding, KYC and AML checking; (min 5 years)
  • Has worked within an Exchange Traded Derivatives environment
  • Understanding of appropriate regulations
  • An understanding of futures and options markets and the trading thereon; and
  • Knowledge of EMIR, MiFID II, MiFIR, MAD and AML regulatory requirements.
  • High level of accuracy and attention to detail
  • Effective oral and written communication
  • IT literacy skills
  • Develops knowledge regarding the position of the Company in the industry and in the overall economic and regulatory environment
  • Develops knowledge of products and services in own areas of responsibility and relevant services used by customers
  • Knowledge of UK regulatory environment, in particular, the FCA rulebook
  • Knowledge of financial services products and markets

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