Helping to develop and manage compliance and conduct policies
Assisting in assessing existing and proposed financial plans and policies
Providing regulatory compliance and conduct insight, oversight and challenge
Contributing to the assessment of the conduct strategy for relevant business units
Providing regulatory advice and analysis in relation to relevant business initiatives
Supporting colleagues on regulatory policy and conduct risk strategy
Helping identify potential or actual conduct and compliance risks

Experience in a compliance, conduct or risk management role or similar relevant experience
Knowledge of the regulatory environment and its frameworks
Ideally experience of interpreting regulatory rules and regulations
Knowledge and experience of Trade & Transaction reporting relating to key UK regulations, such as MiFIR, EMIR, SFTR
An understanding of wider MiFIR and EMIR requirements, such as clearing obligation, DTO, appropriateness

Compliance Manager – Trade & Transaction Reporting

Key skills