Market Abuse Policy & Compliance Manager
This is an opportunity for a passionate and driven individual to a Compliance and Conduct team, where you'll own the Market Abuse Policy however will look across a broader range of regulations affecting the group.
You'll be supporting, developing and embedding the risk and control mechanisms for the business to use to discharge its responsibilities, while independently overseeing and challenging effective management of risks and controls within agreed risk appetites
Hone your compliance and risk expertise and advance your career in this exciting, fast paced role
What you'll do
You'll support the Compliance Lead to act as primary point of contact for franchises, functions and compliance in relation to technical regulatory advice and policy guidance in respect of the bank wide policy for Market Abuse and other conduct issues. You'll help shape the policy to meet relevant regulations standards and expectations and ensure it's appropriately benchmarked against industry practice and remains aligned to the bank strategy and risk appetite.
Your responsibilities will include:
- Providing support, advice, management information and escalation to leaders and the business on risk management
- Supporting the Compliance Lead in providing compliance insight, oversight and challenge for Market Abuse Policy
- Providing regulatory compliance and conduct insight, oversight and challenge in relation to relevant business unit, ensuring compliance arrangements take account of core FCA principles
- Contributing to the assessment of the conduct strategy for the relevant business units to ensure it's consistent with and supports an effective regulatory framework
- Providing advice, guidance and effective reporting, as well as early input into the decision making process for key strategic initiatives
- Providing advice to ensure conflicts of interest and potential market abuse risks are managed appropriately including the provision of adequate physical and virtual segregation strategies, effective communications surveillance and deployment of robust controls and MI
The skills you'll need
- You'll need strong experience in a compliance, conduct or risk management role related to Market Abuse policy. You'll also have the ability to manage and influence business stakeholders.
- A good understanding of conduct risk management principles
- Experience of the relevant regulatory environment and frameworks
- Good knowledge and understanding of the Market Abuse policy operating environment, associated policies, procedures and protocols
- Excellent communication skills and the ability to work collaboratively to achieve shared goals