Compliance Oversight Manager / Senior - Capital Markets

ZipRecruiter; London; Hybrid; GBP 60,000 - 90,000; Full time

Job summary

Join a leading banking institution as a Compliance Oversight Manager, where you'll play a vital role in ensuring compliance across Prime and Clearing & Execution businesses. This is an exciting opportunity to work in a dynamic environment, providing essential compliance support and forming part of a robust second line of defence. You'll be responsible for identifying compliance risks, investigating potential market abuses, and implementing policies in line with international standards. If you're a self-starter with a passion for compliance and risk management, this role offers a unique chance to make a significant impact.

Qualifications

• Experience in Compliance roles, particularly in Clearing & Executions.
• Ability to work in a fast-paced environment and manage stakeholders effectively.

Responsibilities

• Identify and assess compliance risks through reviews of business activities.
• Conduct investigations of potential market abuse and compliance breaches.
• Implement compliance policies aligned with regulatory requirements.

Skills

Markets Compliance Experience

Stakeholder Management

Investigation of Financial Crime

Compliance Risk Assessment

Self-starter

Job description

Job Description

Compliance Oversight Manager – Capital Markets

Meraki Talent are currently working with a leading banking institution to help them identify a Compliance Oversight Manager.

You will work in a team providing advice and Compliance support to their Prime and Clearing & Execution businesses, delivering a high-level partnership and forming part of a robust Compliance second line of defence.

Some of your duties will include:

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
• Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
• Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
• Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
• Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
• Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

We are looking for:

• Markets Compliance Experience, preferably in Clearing & Executions (Futures and Options)
• Self-starter who can work individually as well as part of a team
• Experience of working in a fast-paced environment
• Experience in a Compliance role working with Commodities
• Excellent stakeholder management and engagements skills

Central London based, hybrid working