THE COMPANY:

Our client is a leading global Brokerage firm based in the City. They are looking for a Senior Compliance Manager to support the Compliance function in the design, implementation and maintenance of a risk based compliance framework.

THE RESPONSIBILITIES:

Compliance oversight and advisory:

• Provide guidance and objective challenge to the business on the management of compliance risks.


• Undertake compliance monitoring activities in line with the Compliance Plan.


• Ensure the Compliance framework is robust, effective and appropriately embedded across the organisation.


• Produce management information and reporting on the effectiveness of management of compliance risks.


• Support the business in implementing changes to processes and procedures arising from new or amended regulatory requirements, including initiatives to enhance the control framework where required.