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Senior Compliance Officer - SMCR/Registrations

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

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 (or other regulated firm)
  • High energy, enthusiastic, high quality interpersonal skills, especially influencing and communication skills
  • Excellent attention to process and detail
The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot replyto every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.Unless otherwise stated, candidates must have the right to work in the UK.

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