Senior Central Compliance and Assurance Officer - VP

Senior Central Compliance and Assurance Officer - VP

Position Summary:

• Undertake all Central Compliance and Control Room related activities as documented in current procedures.
• Work independently and with cross-border teams.
• Ensure that all Legal & Regulatory obligations are met through delivery of policy, procedure, and training to all relevant staff.
• Continually review the effectiveness of controls and escalate issues to management.

Duties and Responsibilities:

• Management of the Central Compliance and Control Room function on a day-to-day basis.
• Ensuring the consistency and accuracy of the Central Compliance and Control Room procedures.
• Assisting in various subsidiary reporting requirements.
• Keeping up to date and informing the firm of regulatory change in respect of Control Room functions and other relevant horizon developments.
• Assist with SMF applications to the FCA and updating the FCA Directory with changes to the Certified Persons population.
• Extensive SMCR knowledge and experience is required to assist with the build-out of the existing controls and processes within the department and other stakeholders.
• Report to the relevant Committees where necessary.
• Ensuring the on-going review and revision of policies and procedures.
• Production of the monthly management information, including material for the various committees in the governance structure and Board reports.
• Liaise with the FCA as required.

Leadership Responsibilities:

• Build and develop the competency and effectiveness of the Central Compliance and Control Room.
• Promote and foster good conduct, culture, and employee engagement.
• Participate in the execution of the Compliance plans and initiatives.

Skills and Experience:

• Prior Control Room and/or Central Compliance experience is essential.
• Experience with contacting the FCA on regulatory applications and updates and responding to requests.
• FCA, MIFID II, MAR, Trade and Communications Surveillance as part of Assurance knowledge is desirable but not essential.
• Experience of Research and Financial promotions desirable.
• Good communication skills and report writing essential.
• Good technical knowledge and experience of Excel and PowerBI is preferred.
• Some management/team leadership experience is desirable but not essential.

Qualifications:

• Minimum A-Levels.
• CISI related certificate/ qualifications desirable but not mandatory.