We are recruiting for growing Institutional Brokerage firm looking to hire a Compliance Manager to assist with the day to day running of a busy compliance function.
- Trade monitoring to support compliance with the firm's regulatory monitoring requirements
- Assist with the implementation of the new communications monitoring system
- Regulatory horizon scanning for changes that impact the business, including both Regulatory & Exchange enquires
- Updating regulatory policies and procedures when necessary
- Assisting with the implementation of the firm's training plan
- Conducting regulatory certification / registration processes in compliance with UK (SM&CR) and US requirements
- At least 3 years compliance experience in Financial Services, preferably from within a similar institutional brokerage environment
- A working knowledge/understanding of commodity derivative products
- Knowledge of ICE and CME rules are advantageous
The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.