MERJE
Senior Compliance Operations Manager
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A global financial services business is looking to appoint a Senior Compliance Operations Manager to build and lead a centralised Control Room function.
This is a newly created position with a strong transformation focus. The Senior Compliance Operations Manager will bring together activities currently managed across different regions, establish a consistent global framework and build a small, high-performing team in London.
Senior Compliance Operations Manager – Key Responsibilities
- Build and develop a centralised Global Control Room function.
- Establish the operating model, controls, governance and procedures.
- Oversee Personal Account Dealing, Conflicts of Interest, Information Barriers, Insider/Restricted Lists and Market Conduct activities.
- Review existing Compliance systems and identify opportunities for automation and process improvement.
- Build and manage a small, high-performing team as the function develops.
- Work closely with Compliance and senior stakeholders across multiple jurisdictions.
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Senior Compliance Operations Manager – Experience Required
- Strong Compliance Operations / Control Room experience within financial services.
- Good knowledge of MAR, PAD, conflicts, information barriers and market conduct.
- Experience building, centralising or significantly improving a Control Room or Compliance Operations framework.
- Experience within a fast-paced trading or financial markets environment would be particularly relevant.
- Good understanding of Compliance technology and how it can improve processes and controls.
- Previous management experience.
- Proactive, hands-on and comfortable taking ownership of a significant build project.
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This is a great opportunity for an experienced Senior Compliance Operations Manager or senior Control Room professional to take ownership of a global function and shape how it operates going forward.
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