Senior Compliance Operations Manager

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.

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.
• Proactive, hands-on and comfortable taking ownership of a significant build project.

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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