Compliance Manager

Conteúdo do emprego

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.