Responsibilities

General Responsibilities
(E.g. the areas of accountability & authority but not at the level of duties or tasks involved in the role)

• — With the guidance of the Head of Compliance, develop and maintain corporate compliance policies and procedures.
• — Provide support and guidance to Senior Management and other relevant employees with regards to regulatory issues.
• — Liaise with the FSA and other regulators to ensure that regulatory issues are resolved and up to date.
• — Write and present Compliance reports to the Senior Management and the Board.
• — Designing and undertaking risk based reviews.
• — Manage the workload and development of the Compliance Officer.
• — Provide training to other staff to ensure that they are informed of their regulatory responsibilities.
• — Dealing with confidential and sensitive information in a discreet and professional manner.
• — Provide cover when the Compliance Officer is out of the office.
• — Monitoring of EU and UK financial regulatory and impact analysis.
• — Liaison and instruction of counsel in respect of legal matters.

Budget Responsibilities

None

Reporting to

Head of Compliance, Regulatory and Legal Affairs

Number of Direct Reports

One - Compliance Officer

Candidate profile

Previous Work Experience

 

Specific Experience Required

• — Significant experience of capital markets and compliance gained at a senior level at a bank, exchange or law firm.
• — Excellent communication and influencing skills at all levels.
• — Proven track record of implementing compliance policy and procedure programmes.
• — Experience of drafting of statements of case and disciplinary processes.
• — Previous management experience.
• — Experience of drafting of contracts and other legal documentation.

Additional Desirable Experience

Skills & Knowledge

Educational Requirements

UK qualified solicitor desirable.

Language skills

European language would be desirable but not essential

IT skills

Advanced knowledge of Microsoft Office

Personal Competencies

A pro-active individual who shows initiative & takes responsibility for their own decisions
A good team-player who encourages feedback & is able to delegate & seek help when appropriate
An effective & well-presented communicator both verbally & in writing
An analytical, problem-solver who is able to quickly & accurately identify key issues
A well-organised planner who will follow rules & procedures when appropriate
An innovator who will thrive in a pressurized & dynamic environment & embraces change
A professional & discreet operator focussed on stakeholder needs

Other Information

Travel requirement
(e.g. European, UK)

UK

Working hours

Business hours with the flexibility to contribute more hours when necessary.

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All CV's should be forwarded to people@tradeturquoise.com