Senior Compliance Manager

Overview

The role is largely remote with occasional travel. We are seeking an experienced Senior Compliance Manager to join Tradex and assist the Compliance Function in achieving its core objective of ensuring we comply with all relevant regulations whilst promoting a strong and effective compliance culture.

The role holder is responsible for supporting the Director of Compliance in managing regulatory relationships, SMCR records and regulatory submissions, oversight of Financial Crime activity through the Financial Crime Framework, preparing and reviewing Compliance policies and preparing regular compliance reporting for Management, Boards and Committees.

Key Accountabilities & Responsibilities

• Provide support to executives and the Director of Compliance in managing regulatory relationships through briefings and proactive engagement management.
• Manage Group SMCR records and actions including agreeing and updating Management Responsibilities Map and Statements of Responsibilities.
• Prepare regular compliance reporting to Boards/Committees
• Oversee review and submission of all Regulatory reporting, applications and notifications.
• Prepare Compliance related Group Policies and review existing policies on a regular basis eg: Financial Crime, Whistleblowing.
• Oversee implementation and monitoring of the Governance Risk and Compliance Training Plan.

Skills, Experience & Knowledge

• Experience in a compliance function within a regulated environment
• Exposure to Senior Management and EXCO's
• Managing SMCR records
• Compliance Reporting
• Excellent knowledge of FCA/PRA regulation
• Excellent verbal and written communication skills
• Good understanding of 3LOD
• Strong analytical skills
• Problem solving ability
• High attention to detail
• Highly proficient in Microsoft WORD, Excel and PowerPoint

Why us? What we offer in return?

• Pension contribution 5% or more by employee, 10% employer
• Opportunity for yearly bonus
• Private Medical Insurance
• 28 days annual leave plus Bank Holidays
• Life Assurance 4x annual salary