Compliance Oversight Manager / Senior – Capital Markets

JR United Kingdom; London; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Compliance Oversight Manager to enhance their compliance framework in the Capital Markets sector. This role involves assessing compliance risks, investigating potential market abuses, and collaborating with various teams to ensure adherence to regulatory standards. The ideal candidate will have a strong background in markets compliance, particularly in Clearing & Executions, and possess excellent stakeholder management skills. Join this forward-thinking banking institution and contribute to a robust compliance environment while advancing your career in a dynamic setting.

Qualifications

• Experience in compliance with a focus on Clearing & Executions.
• Ability to work independently and collaboratively in a team.

Responsibilities

• Assess compliance risks and conduct investigations into market abuse.
• Implement compliance policies aligned with regulatory requirements.

Skills

Markets Compliance Experience

Stakeholder Management

Risk Management

Self-starter

Compliance Role Experience

Job description

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Compliance Oversight Manager / Senior – Capital Markets, London

Client: Meraki Talent

Location: London, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views: 8

Posted: 08.05.2025

Expiry Date: 22.06.2025

Job Description:

Meraki Talent is 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 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 reviews of business activities, changes, processes, testing, and systems.
• Identification and investigation of potential market abuse, including Insider Dealing, Unlawful Disclosure, Market Manipulation, or Anti-Competitive Conduct.
• Conduct investigation of compliance risk events or breaches, oversee and challenge corrective actions and preventative measures.
• Implementation of compliance policies and procedures aligned with regulatory requirements and international standards, including jurisdictional requirements.
• Collaboration with 1LOD, other compliance teams, legal, and risk management functions for comprehensive compliance and risk management.
• Identification, investigation, and oversight of potential money laundering, terrorist financing, or other financial crimes.

We are looking for:

• Markets Compliance Experience, preferably in Clearing & Executions (Futures and Options)
• Self-starter capable of working independently and in a team
• Experience working in a fast-paced environment
• Experience in a compliance role working with commodities
• Excellent stakeholder management and engagement skills