Deputy Head of Regulatory Compliance
New Yesterday
Trade monitoring to support compliance with the firms regulatory monitoring requirements
Assist with the implementation of the new communications monitoring system
Regulatory horizon scanning for changes that impact the business, including both Regulatory & Exchange enquires
Updating regulatory policies and procedures when necessary
Assisting with the implementation of the firms training plan
Conducting regulatory certification / registration processes in compliance with UK (SM&CR) and US requirements
Job Requirements:
At least 5 years compliance experience in Financial Services, preferably from within a similar institutional brokerage environment
A working knowledge/understanding of commodity derivative products
An understanding of Block Trading
Knowledge of ICE and CME rules are advantageous
Unless otherwise stated, candidates must have the right to work in the UK.
The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.
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CLARC is a specialist Legal, Audit, Risk & Compliance recruiter with offices in London and Dublin.We have nearly 30 years combined recruitment exper...
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- Location:
- London
- Job Type:
- FullTime
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