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Compliance Manager
View: 215
Update day: 25-04-2024
Category: Legal / Contracts Quality Assurance / Quality Control
Industry: Capital Markets Financial Services Investment Banking
Job type: Full-time
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Job content
Main purpose of the Role:- To conduct Regulatory Reviews of the firm and its functions through the Compliance Monitoring Programme as part of the Compliance Framework
- To assist the other members of the Compliance Review Team members in the execution of duties
- To conduct internal investigations when directed by Compliance management
- To conduct investigations as required by external Regulatory bodies
- To provide regulatory support and advice to the firms internal stakeholders
Key Responsibilities:
Core Activity
- Perform Regulatory reviews (both desk based reviews and thematic) using a risk based approach as defined within the Compliance Monitoring Programme
- Develop the Compliance Monitoring Programme with support from the Compliance Manager
- Liaising with the Compliance Manager to produce reports based on reviews conducted, to discuss results and recommendations with the business and to assign owners to findings
- Assist with tracking findings and recommendations and ensure these are closed appropriately within agreed time lines
- Escalate issues which are not remediated within agreed timeframes to the Compliance Manager
- Liaise with the Compliance Manager, the business and support functions to identify risk areas, investigate issues and agree recommended actions
- Help develop the Compliance Monitoring Programme with support from the Compliance Manager
- Conduct investigations (regulatory and internal) when required
- Provide advice and guidance to the business and Compliance colleagues
- Take on such roles and responsibilities as are required from time to time to contribute to the successful operation of the Compliance function within the BGC/ Cantors group
- Be alert to Conduct Risk issues, specifically the risk of harm to client interests, market integrity and/or competition in financial markets due to inappropriate practices or behaviours across the firm
- Escalate any issues identified to the Compliance Manager according to the escalation procedures
Compliance Risk Management Framework
- Provide input into assessing the effectiveness of the Risk Assessments
- Support the Compliance Manager, Head of Compliance and the MLRO with investigations of suspicious behaviour
Skills / experience required:
- A good understanding of the relevant regulatory handbooks and the ability to apply the knowledge to a commercial environment
- A good working knowledge of a wide range of financial product and services
- Knowledge of financial products advantageous
- Appropriate professional/industry qualifications
- 2-3 years’ experience within a Compliance function.1 years’ experience within a reviews / monitoring role is preferable
- The ability to perform risk based analysis of MI and to identify risks and remediation actions
Systems used:
- Knowledge of trading systems advantageous (e.g. Fidessa, Bloomberg, Reuters etc.)
- Excellent PC skills including Word, Excel and PowerPoint
Personal attributes:
- Excellent communication skills including the ability to articulate information in a clear and precise manner in order to influence thinking and decision making at all levels of the organisation
- Excellent report writing
- Attention to detail and ability to spot anomalies
- Good organisational and time management
- Ability to work autonomously or as part of a team
To all recruitment agencies – BGC Partners & affiliates do not accept agency resumes. Please do not forward resumes to our job alias, employees or any other company location. BGC Partners & affiliates are not responsible for any fees related to unsolicited resumes. Please contact the Recruitment function for additional details.
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Deadline: 09-06-2024
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