Senior Compliance Advisory Capital Markets

Michael Page (UK); City Of London; On-site; GBP 80,000 - 100,000; Part time

Job summary

A leading recruitment agency is seeking a Senior Compliance Advisory specialist for a temporary contract role in London. The successful candidate will provide regulatory and compliance advice while ensuring alignment with the London Metal Exchange's regulations. This role offers a competitive daily rate of £500 to £600 and the opportunity to work within a reputable financial services organization. If you are experienced in compliance and looking for a challenging role, apply today!

Benefits

Competitive daily rate

Flexibility in work

Opportunity for valuable experience

Qualifications

• Proven expertise in compliance advisory within the financial services industry.
• Strong knowledge of rules and requirements of the London Metal Exchange (LME).

Responsibilities

• Provide strategic regulatory and compliance advice to business leaders.
• Lead the delivery of the Compliance Monitoring Plan.
• Conduct comprehensive Compliance Risk Assessments.
• Review and maintain policies to align with regulations.
• Develop and deliver compliance training initiatives.

Skills

Proven expertise in compliance advisory

Strong knowledge of UK regulatory frameworks

Experience in Risk & Compliance functions

Job description

• Seeking a Snr Compliance Advisory specialist who is available at short notice.
• Compliance advisory opportunity within an international Capital Markets firm.

About Our Client

The organisation is provides execution and clearing services for commodities, specifically acting as a Dealing Member of the London Metal Exchange (LME).

Job Description

• Provide strategic regulatory and compliance advice to business leaders and senior management, ensuring clear interpretation of relevant rules, emerging risks, and regulatory expectations.
• Lead the delivery of the Compliance Monitoring Plan, including planning, execution, reporting, and preparation of high‑quality management information.
• Oversee the implementation and ongoing management of the SMCR certification process and all related governance frameworks.
• Conduct comprehensive Compliance Risk Assessments and Financial Crime Risk Assessments, identifying key risks and advising on appropriate mitigating actions.
• Review, update, and maintain policies and procedures to ensure full alignment with applicable regulations, including the rules and requirements of the London Metal Exchange (LME).
• Develop and deliver compliance training initiatives, including the creation of engaging training materials and the delivery of sessions on relevant regulations, policies, and obligations.
• Monitor regulatory developments, assess their impact on the business, and ensure timely communication and implementation of required changes.
• Oversee Third‑Party Risk Assessments, ensuring appropriate due diligence, monitoring, and management of external partners and service providers.
• Test the design and operational effectiveness of internal controls, identify vulnerabilities, track remediation actions, and follow up to ensure timely and effective resolution.
• Investigate and resolve escalation alerts arising from surveillance and monitoring activities, ensuring appropriate escalation and remediation.

The Successful Applicant

A successful Senior Compliance Advisory professional should have:

• Proven expertise in compliance advisory within the financial services industry.
• Strong knowledge of UK regulatory frameworks and requirements.
• Strong knowledge of rules and requirements of the London Metal Exchange (LME).
• Experience in Risk & Compliance functions.

What's on Offer

• Competitive daily rate ranging from £500 to £600.
• Opportunity to work within a reputable financial services organisation in London.
• Chance to contribute to key compliance initiatives within a professional team.
• Temporary contract providing flexibility and valuable experience in Risk & Compliance.

If you are an experienced Senior Compliance Advisory professional looking for a challenging role in the financial services industry, apply today to join a dedicated team in London!