Senior Compliance Officer, EMEA & APAC Advisory

The Role

We are seeking a Senior Compliance Officer, EMEA & APAC to serve as the Compliance point of contact for key business lines and support functions across the EMEA and APAC firm, assisting with any queries or issues related to the management of compliance risk. This role reports into the Chief Compliance Officer, EMEA & APAC.

How You’ll Help Take Us There

• Lead on the provision of Compliance advice to the business and liaise with the Chief Compliance Officer EMEA and APAC prior to its issuance as needed
• Support the business in assessing whether issues or incidents require notification to the regulator and draft any related notifications
• Play a leading role on key interactions with regulators
• Assist with new business initiatives and regulatory change projects
• Support with the oversight of the financial crime framework, including managing the relationship with the onboarding team
• Maintain and periodically update firm-wide risk assessments to ensure these are tailored to the nature, scale and complexity of the business
• Support with the development and ongoing enhancement of management information submitted to key internal committees
• Lead on new business initiatives and change projects, including identifying any related compliance risks and key mitigating controls that may need to be implemented
• Work with the wider firm on any regulatory issues, assess whether these are notifiable to our regulators across EMEA and APAC, draft and issue these notifications, as well as follow up on any further questions from our regulators
• Prepare management information for key committees, Boards and other relevant stakeholders

What We’re Looking For

• 10+ years' experience of working in financial services compliance, or other control function roles, preferably in regulated electronic trading platforms, market infrastructure, trading firms or post-trade processing such as regulatory reporting
• Extensive knowledge of MiFID II in particular, obligations for market participants, algorithmic trading, regulatory reporting, outsourcing, market abuse and compliance supervision
• Strong verbal communication is required and ability to question and challenge business stakeholders to understand how Compliance risk is being effectively managed
• Excellent writing skills to support with the drafting of regulatory notifications
• Deep knowledge and experience of financial services regulation in the UK and/or EU
• Proven experience of working in a small team and strong business acumen
• Fixed income experience is highly preferable but not essential

What You Can Expect from Us 

• Central Location: based at our city offices near St Paul's.  
• Free Food: We provide lunch each day of the week when the employee attends the office via our vendor Feedr as well as breakfast cereals, office snacks and drinks from our free vending machines 
• Paid Time Off: 25 days annual leave entitlement plus 2 charity days
• Reward for your service: We offer a two-week bonus holiday after completing each 5 years of service 
• Core benefits: Besides competitive standard benefits package we offer private medical (PMI) for family, Cash Plan, health screenings, dental cover, 6X life assurance, critical illness cover, income protection, pension, car leasing (Tusker electronic cars), reimbursement for wellness stipend, interest free season ticket loan and a “Share Incentive” plan
• Tuition Assistance and Professional Training: Benefit from on-demand learning, boot camps, and opportunities to attend conferences 

Collaboration and innovation are integral to our success – it's how we got to where we are and how we’ll maintain and grow our competitive advantage. We believe this best happens in an office environment. Employees in Technology work in the office 2 or more days a week. This approach still allows for flexibility depending on the business function you work within but also helps us maintain a collaborative office environment long-term.