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Compliance Manager
Reporting to the Senior Compliance Officer, the role requires a range of compliance skills and knowledge, the ability to manage priorities and to quickly become familiar with new compliance requirements. Responsibilities: Trade and other monitoring, in conjunction with the Ops team, to support compliance with the firm's regulatory monitoring requirements, including: Review of late trade reports and follow-up as appropriate Monthly monitoring of trades (audit trails) Communications monitoring Assisting with regulatory/exchange enquries/information requests (ICE and CME). Conducting regulatory certification / registration processes in compliance with UK (SM&CR) and US requirements. Maintenance


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