Currently recruiting for a well-established trading firm for a Compliance Manager.
Responsibilities include:
* FCA registrations.
* Interactions with various trading exchanges.
* Assisting with Training, PA dealing, and G&E register.
* Assisting with preparing MI and reports for senior management.
* Testing of the Compliance Monitoring Plan.
* Help monitor PA dealing including reviewing statements and distributing attestations.
* Provide compliance training.
* Help complete regulatory returns.
* Assist with inquiries from exchanges and regulators.
* Assist in continuously reviewing, tailoring, and improving policies, procedures, and the compliance manual.
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