Senior Compliance Manager - Broker Dealer

Senior Compliance Manager – Broker Dealer

Our client, a global, self-clearing Broker Dealer, is looking to hire a Senior Compliance Manager who will report into the firms CCO and General Counsel. The incumbent will among others, provide specialist Compliance advice and guidance to senior business leaders and key members of the firms Sales and Trading teams. The firm specialize in Equities trading and their global presence continues to go from strength to strength. The global business has grown rapidly and as such this role is the first of several new hires to be signed off.

You will report directly into the CCO and primarily sit on trading floor.

The Senior Compliance Manager will be responsible for…

• Providing specialist product and business Compliance Advice to key stakeholders and senior leaders in the business focusing among others, Controls as well as Policy & Procedures.
• Working closely with Sales and Trading teams, providing specialist Regulatory Compliance Advice pertaining to among others, Trade Executions.
• Engagement with external regulators for regulatory approvals and requests for information
• Working closely with business leaders to implement regulatory initiatives.
• Running targeted risk assessments and developing Controls for the Front Office.

The Senior Compliance Manager should have the following qualifications…

• Five years of relevant Compliance experience gained in a Broker Dealer or on a Trading Floor
• Excellent working knowledge of the regulations governing the Broker Dealer space.
• Experience of developing and implementing Policies and Procedures in Broker Dealer
• Strong experience of working with traders
• Series 7
• Exceptional communication skills