Compliance Manager - EPM

Compliance Manager - UKCompliance Department - Ebury Partners Markets - MIFID

Ebury London - Hybrid: 4 days a week office based working, 1 day working from home

The Compliance Manager sits within the Compliance department, reporting to the Group Deputy MLRO. The candidate must demonstrate proven organisational and time management skills, have excellent communications skills - with fluency in English, both written and verbal, being essential. 

The working environment is fast paced, agile and highly results orientated so the individual must be comfortable working within tight deadlines, various projects and jurisdictions. In addition, the individual must be comfortable with working autonomously and have good interpersonal skills to interact with the local and group Compliance teams.

Key Requirements

• Expert understanding of the FCA Handbook and relevant Compliance regulations including FSMA2000, FSMA(RAO), MiFID, MAR and EMIR and any other relevant regulations as these apply to MiFID Investment Firms.
• Knowledge and understanding of MIFIDPRU is considered an advantage;
• Knowledge and previous experience with second line advisory for CASS;
• Knowledge and previous experience in Policy drafting, reviewing and development;
• Knowledge and previous experience in regulatory reporting obligations and transaction reporting;
• Responsible for the ongoing performance of Horizon Scanning and development of Gap Analysis as to the new requirements;
• Development and Implementation of new controls based on applicable regulations;
• Experience and responsible for advisory in controls including, Complaints, breaches, conflicts of interest, personal account dealing and others;
• Previous knowledge in working with internal and external auditors and dealing with recommendations;
• Expert knowledge in reading, understanding and providing analysis of regulation both in the UK and abroad.
• Previous experience in the development of Frameworks and Proposals for the development of new verticals and products;
• Knowledge in completing Management Information;
• Creation and ongoing development of trainings to various business areas;
• Expert knowledge in recordkeeping and log keeping;
• Expert knowledge in relationship management to various stakeholders.
• Main point of escalation for all Compliance related topics (G&E, Conduct, Conflict of Interest, Cross Border, AML, EDD, PEP, SAR, Sanctions, etc)
• Provide advice and support to local Front Office staff on all aspects of regulatory compliance
• Main point of contact concerning the internal and external audits for Ebury Partners Markets Limited (EPM)
• Produce monthly/quarterly management information for EPM 

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