Reporting into the Head of Compliance Advisory, your role involves the following:
This role supports investigating any identified potential or actual breach of relevant rules and regulations and assist in reporting to senior management and the regulatory authorities and in remediation solutions.
This role requires a Compliance Officer with key knowledge on markets related regulation including MiFID, EMIR and MAR
Act in role of trusted advisor for compliance matters across the relevant product areas through specialised regulatory knowledge and interpretation of the rules;
Individual will be primary compliance Officer for designated business areas across public side businesses;
In conjunction with other members of the Compliance team assist in the: design and implementation of an effective Compliance Risk Assessment program; implementation of an Annual Compliance Plan; and execution and reporting of the Compliance Monitoring program;
Be a key member of team to progress and communicate CM's Ltd Conduct Risk Agenda;
Along with the rest of the team train all staff on required Compliance and Conduct materials, including the development of relevant materials;
Detailed experience of providing Compliance coverage/advice to public side businesses with working knowledge of regulation and compliance of FI and Equities Products/Businesses
Financial Services laws and regulations
Financial markets and banking activities
Conduct Risk areas
Excellent verbal and written communication skills
Ability to work independently and as part of a team
Highly articulate and able to apply new skills effectively
Able to multi-task and prioritise multiple projects;
Able to build relationships and have good rapport with stakeholders
Strong team player and open communication skills.
Experience on standard Microsoft Office and other email products.