Senior Compliance Officer - SMCR & Registrations

We are recruiting for a Global Brokerage firm looking to hire a Senior Compliance Officer in their London Office to be the subject matter expert for SMCR & registrations.

Main Responsibilities

• Assist SMFs in maintaining individual Statements of Responsibilities
• Maintaining and managing all SMF documentation, including Job Descriptions, Reasonable Steps, Learning and Development Plans and Handover documents
• Prepare and submit all SMF regulatory filings
• Prepare briefing notes, presentations and reports for senior management consideration in relation to the Senior Managers Regime
• Prepare MI, Board/Local Management Committee and Executive Committee paper/reports in relation to SMR
• Prepare training materials on the SMR
• Support the Head of Central Compliance & Group Head of Compliance in providing guidance, briefings and/or training to SMFs, CPs or other teams, as required
• Monitoring of regulatory developments and proposing changes of systems and controls in response to emerging trends and changes of regulatory rules.
• Manage Employee Exchange registrations (CME, ICE, EEX, EUREX, EURONEXT, LME)

Job Requirements:

• Previous SMCR & Registrations experience from a similar Brokerage environment
• High energy, enthusiastic, high quality interpersonal skills, especially influencing and communication skills
• Excellent attention to process and detail

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