Job Title:	Compliance Manager
Reference:	Compl2987
Salary:	Up to £100,000
Location(s):	City of London
Industry(s):	Financial Services
Advertiser:	Compliance Professionals Ltd
Employment Type:	Permanent
Posted:	15-08-2008

Description:

THE COMPANY:

Our client is a leading Exchange based in the UK which specialises in providing trading facilities for equity products. They are looking to hire a Compliance Manager for their growing London office.

THE RESPONSIBILITIES:

Provide guidance on regulatory issues to the business

Maintain effective relationships with the business and participate in regulatory and operational risk projects and initiatives

Documenting new processes and procedures in line with regulatory changes and business needs

Keeping policies and procedures up to date and current

Ability to compile a monitoring programme and report on results of internal reviews.

Designing and undertaking risk based reviews

Identifying new areas that require regulatory risk evaluation

Identifying the firms exposure to operational failures

Collate and escalate issues to senior management

Identify possible control failures and regulatory breaches

Overseeing market surveillance during trading hours

Overseeing Equities transaction monitoring and ensuring that any issues are documented in a monitoring plan.

Experience of equities monitoring and ability to develop monitoring techniques.

Ability to compile a monitoring programme and report on results of internal reviews.

Liaison with and answering queries from Regulatory Authorities and Exchanges as required

Assisting with New Account Opening and conducting KYC checks

EXPERIENCE REQUIRED:

Relevant compliance experience ideally gained within a Broker/Exchange or Investment banking environment

Good understanding of European equities markets and associated regulatory issues

Ideally educated to degree level

For further information, please contact Hannah Tabatabai

Compl2987