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.
Recommended Jobs
English Teacher - Inner London Pay, Ealing
English Teacher | ASAP Start | Ealing, West London Are you a passionate linguist and literature enthusiast ready to inspire students in a dynamic West London school? We are seeking an eloquent a…
Religious Education ECT - Outstanding Secondary School,...
Religious Education ECT – Outstanding Secondary School, Lambeth Start Date: As soon as possible Contract: Full-time, Permanent Salary: Paid to scale School information: This Outst…
Economics Teacher
Economics Teacher Start date: ASAP Contract: Full-time, Ongoing Maternity Cover School type: Secondary School with Sixth Form Location: RedbridgeAre you an enthusiastic Economics Teacher looking for…
Year 3 Teacher - Harrow
An ambitious Harrow primary seeks an inspiring Year 3 Teacher to join Key Stage 2 on a Full-Time basis from January 2026. The successful Year 3 Teacher will take part in pre-term planning prior to Ja…
Design Technology Teacher - Outstanding School - Croydon
Design Technology Teacher – Outstanding School – Croydon This is an excellent opportunity for an inspiring Design Technology Teacher to join a high-achieving school in Croydon starting ASAP. Ap…
Housing advisor
Provide expert advice on housing policies, procedures, and regulations. Support individuals and families in accessing appropriate housing solutions. Manage and maintain accurate housing records…
Personal Tax Assistant Manager
This independent firm has a great reputation for the quality of its tax client base, is large enough to have a sensible structure and talented mentors who can help you progress your skills, but small…
EA/ Office Manager
Provide diary management for a very busy CEO with a packed high profile schedule. This sill be a very proactive one step ahead EA role rather than many tasks being delegated to you You will also i…
Senior Civil Engineer
We are excited to offer a fantastic opportunity for a Permanent Senior Structures/Civil Engineer (Rail) to join our dynamic CEFA team in Southern England – Hybrid working 37.5 hrs per week. In t…
Assistant Building Surveyor
We are on a mission to become the leading force in residential property management services. The global residential property management industry is currently undergoing a digital transformation and O…