Position Title: Senior Compliance Manager
Department: Compliance
Location: London
Reports to: Head of Compliance
Job Type: Full-Time
Meraki Talent is working with a leading online trading platform offering a range of financial instruments including equities, derivatives, and forex.
Role Overview: The Senior Compliance Manager will ensure that the company adheres to all relevant regulatory requirements, including MiFID II, MiFID, and EMIR. The role involves developing, implementing, and monitoring compliance programs, policies, and procedures to ensure that the company operates within the regulatory framework.
Key Responsibilities:
1. Regulatory Compliance:
o Ensure the company complies with MiFID II, MiFID, and EMIR regulations.
o Monitor regulatory changes and updates, assessing their impact on the company.
o Implement necessary changes to compliance policies and procedures in response to regulatory updates.
2. Compliance Program Development:
o Develop and maintain a comprehensive compliance program.
o Create and update compliance manuals, policies, and procedures.
o Conduct regular compliance audits and risk assessments.
3. Monitoring and Reporting:
o Monitor trading activities to ensure compliance with regulatory requirements.
o Prepare and submit regulatory reports as required.
o Maintain records of compliance activities, including any breaches and corrective actions taken.
4. Advisory and Training:
o Provide expert advice to senior management and other stakeholders on compliance matters.
o Conduct training sessions for employees on compliance policies and regulatory requirements.
o Serve as the primary point of contact for regulatory bodies and auditors.
5. Risk Management:
o Identify and assess compliance risks associated with the company's activities.
o Develop strategies to mitigate identified risks.
o Implement and monitor controls to prevent compliance breaches.
6. Stakeholder Management:
o Liaise with internal and external stakeholders, including regulators, auditors, and industry bodies.
o Represent the company in compliance-related forums and industry groups.
Qualifications:
* Bachelor's degree in Law, Finance, Business Administration, or a related field.
* Professional certification (e.g., ICA, ACAMS) is a plus.
Experience:
* Minimum of 5 years of experience in compliance, with a focus on MiFID II, MiFID, and EMIR.
* Proven experience in the online trading or financial services industry.
* Strong knowledge of regulatory requirements and best practices in compliance.
Skills:
* Excellent understanding of MiFID II, MiFID, and EMIR regulations.
* Strong analytical and problem-solving skills.
* Excellent communication and interpersonal skills.
* Ability to work independently and manage multiple tasks simultaneously.
* Strong attention to detail and organizational skills.
* Proficient in Microsoft Office Suite and compliance management software.