Registrations, Compliance - VP
Salary £500 - £600 per day
Consultant Lewis Roman Macias
Date posted 05 July 20192019-07-05 2019-08-04 financial-services London London GB GBP 500 600 600 DAY Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
Our client, a top tier one Investment bank, clear market leaders in the industry, is looking to recruit a strong compliance professional to lead their Central Compliance, Registrations team. The team are responsible for the implementation of internal processes to ensure that employee regulatory and exchange registrations progressed efficiently.
- Oversee the day to day regulatory and exchange registration process
- Oversee the onshore and offshore team responsible for the day to day registration processes
- Preparing regular management information checks
- Oversee the periodic update of regulatory exchange policies & procedures
- Oversight of a team onshore and offshore
- Good understanding of the various aspects of the Compliance Registrations
- Knowledge of the regulatory landscape; SMCR, US Regulations (CFTC and FINRA) and MiFID II.
- Good knowledge of exchange and Venue registrations requirements
- Team leadership experience
This is a 6 month contract, offering competitive daily rates varying from £500 - £600 per day (PAYE) depending on experience. For more information, please send in your most up to date CV: lewis.roman@robertwalters.