Senior Compliance Advisory - Contract - Capital Markets
- Provide strategic regulatory and compliance advice to business leaders and senior management, ensuring clear interpretation of relevant rules, emerging risks, and regulatory expectations.
- Lead the delivery of the Compliance Monitoring Plan, including planning, execution, reporting, and preparation of high‑quality management information.
- Oversee the implementation and ongoing management of the SMCR certification process and all related governance frameworks.
- Conduct comprehensive Compliance Risk Assessments and Financial Crime Risk Assessments, identifying key risks and advising on appropriate mitigating actions.
- Review, update, and maintain policies and procedures to ensure full alignment with applicable regulations, including the rules and requirements of the London Metal Exchange (LME).
- Develop and deliver compliance training initiatives, including the creation of engaging training materials and the delivery of sessions on relevant regulations, policies, and obligations.
- Monitor regulatory developments, assess their impact on the business, and ensure timely communication and implementation of required changes.
- Oversee Third‑Party Risk Assessments, ensuring appropriate due diligence, monitoring, and management of external partners and service providers.
- Test the design and operational effectiveness of internal controls, identify vulnerabilities, track remediation actions, and follow up to ensure timely and effective resolution.
- Investigate and resolve escalation alerts arising from surveillance and monitoring activities, ensuring appropriate escalation and remediation.
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