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Compliance AD

Posted 12 days 11 hours ago by Compliance Professionals

Permanent
Not Specified
Other
London, United Kingdom
Job Description
THE COMPANY: Our client is a leading alternative asset management firm, looking to hire a Compliance Associate Director. It's essential that this person has extensive of Trade and eComms surveillance. THE RESPONSIBILITIES:
  • Support the Compliance Director by taking over day to day management of the Central Compliance Team.
  • This is a hands-on role so you will be expected to become proficient in all areas of Central Compliance.
  • Be responsible for the identification and management of Conflicts of Interest across the multiple business lines and geographies of the Business.
  • Oversee the management of personal Conflicts of Interest including Personal Account Dealing, Outside Business Interests, Gifts & Entertainment and Directorships.
  • Management of Personal Account Dealing and the implications of staff trading.
  • Oversee the management of Market Soundings and wall crossings
  • Knowledge and expertise of Information Walls
  • Ability to undertake chaperone discussions between public & private sides of the Business
  • Management of the Trade and Ecommunications Surveillance Teams
  • Be the primary escalation point for trade surveillance queries from the team
  • Work with the team to develop Policies, Procedures and Manuals
  • Able to provide advice and guidance to strategies and individuals across the Business with respect to Compliance Policies
EXPERIENCE REQUIRED:
  • 8+ years Compliance experience. Control Room experience preferred.
  • Extensive experience of Trade & eComms Surveillance
  • Experienced of running a Compliance Team especially across multiple jurisdictions
  • Experience working in an Investment / Wholesale Bank, PE & Asset Managers with €10bn + AUM or Leveraged Finance organisation.
  • Excellent management and leadership skills with a focus on coaching and training individuals within the team to succeed
  • Excellent stakeholder management skills
  • Outstanding communication skills
  • Humble and respectful to Team members
For further information please contact Spencer Evans
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