You will be focusing on the Market Abuse Framework Assessment, verification of the 1st Level-Control Environment, Quality Assurance Program and the Model Review Program.
The role of Senior Compliance Assurance Manager consists of, but not limited to:
- Working with IT to ensure the framework is adequate and allows for proper market abuse risk management
- Carry out reviews to Ensure that controls performed by 1LOD/2LOD are effectively designed, performed in line with their description in the operational procedures, and adequately documented audit trail.
- Conduct targeted compliance reviews on trade and e-Comm surveillance related to market abuse carried out by 1LOD and 2LOD to assess and review compliance with legal, regulatory and internal Bank policy requirements
- Anticipate regulatory requirements exemplified in regulatory actions and guidance and ensure the requirements are met within Surveillance teams
- Lead working groups that focus on enhancing controls/quality of the trade and e-Comm surveillance program
- Drive the institution of a culture of excellence concerning staff development and performance.
- Securities Exchange Listed option exchange, Commodity Exchange and future exchange rules
- European regulation on Market Abuse, MAD MAR, MiFid 2
- Corporate Investment Banking experience
- Muli-Asset class experience with a focus on Fixed Income and FX
The employer has an excellent compliance culture descending from senior management, a positive reputation for work-life balance, high bonuses and an extremely competitive benefits package.
If you are interested in this Senior Compliance Assurance Manager opportunity and would like to apply or request further information, please submit your CV. Alternatively, call Pritesh Chudasama on 0203 637 1607 for a confidential conversation.
Please note, should feedback not be received within 28 days, due to the large volume of applications, unfortunately, your application has been unsuccessful. However, I may be in touch with similar relevant opportunities in the future.