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A leading, International Bank is looking to hire a senior Compliance Officer into their Central Compliance team of one of their subsidiaries, which is a global leader in the execution and clearing of ETDs and the provision of OTC products and prime brokerage services.
The subsidiary company is a separately regulated entity in both the UK and the US, and thus has to abide to FCA, NFA and CFTC obligations as well as adhering to the bank's overall frameworks from a procedures and policies point of view.
This team acts in an oversight and control capacity and the role's primary functions are to complete staff and exchange registrations, maintain the exchange and clearing house licenses and some policy/ad-hoc project work.
Supporting the CF10 and team on all core compliance duties, in order to manage regulatory risk within the business
Assisting with staff registrations (i.e. SMCR) as well as market access purposes
Producing regulatory and exchange filings and reports; maintaining the exchange and clearing house licenses and responding to any queries related to these
Revising and updating policies for the subsidiary; ensuring the compliance manual is kept up to date
Overseeing outsourced compliance activities, to ensure they meet service level expectations
Preparing compliance reports as and when required, including the quarterly compliance programme updates for the Board Risk Committee
Representing Central Compliance on projects on an ad-hoc basis
Experience in a Compliance function in a FCA regulated firm (ideally a top tier bank)
Understanding of FCA and exchange rulings, and of the application of measures designed to mitigate against conduct risk
Preferably specific experience of central compliance duties such as registrations and licensing
Excellent interpersonal and stakeholder management skills