Group Compliance Monitoring Manager
capital.com
London, UK
Published today
Compliance Management Systems / Technology
Full time
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.
Responsibilities
Department Compliance Locations London, United Kingdom Working options Hybrid, In-office
Responsibilities
- Design, implement, and oversee the firm's global compliance monitoring and assurance programme to ensure adherence to regulatory obligations.
- Conduct risk-based compliance monitoring reviews, identifying areas of non-compliance and recommending remedial actions.
- Develop and maintain a compliance monitoring plan and risk assessment that aligns with regulatory expectations and the firm's risk appetite.
- Prepare and present detailed compliance reports to senior management, identifying key findings and trends.
- Manage, mentor, and develop a team of five compliance monitoring professionals, providing guidance and support.
- Monitor regulatory developments and assess their impact on the firm's compliance framework.
- Collaborate with key stakeholders, including Local Compliance, Marketing, Risk, and Internal Audit, to enhance the firm's compliance culture.
- Ensure effective record-keeping and documentation of monitoring activities, findings, and remedial actions.
- Work closely with regulators and auditors during audits, inspections, and regulatory inquiries.
- Experience: Minimum of 5+ years in compliance monitoring, assurance, or audit within a regulated financial services firm (CFD/spread betting experience preferred).
- Communication: Excellent written and verbal communication skills, with experience presenting findings to senior management and relevant stakeholders.
- Leadership: Proven experience managing and developing a team.
- Regulatory Knowledge: Strong understanding of global regulatory frameworks.
- Analytical Skills: Ability to identify compliance risks and propose effective solutions.
- Attention to Detail: Strong analytical mindset with the ability to interpret regulations and policies.
- Stakeholder Management: Ability to work collaboratively across multiple departments and jurisdictions.
- Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
- Work-Life Harmony: Join a company that genuinely cares about you -because your life outside of work matters just as much as your time on the clock.
- Annual Performance Bonus: Your hard work doesn't go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance.
- Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
- Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
- Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we've got your back. Plus, location-specific benefits and perks!
- Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
- Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Department Compliance Locations London, United Kingdom Working options Hybrid, In-office