Senior Compliance & Risk Officer
As a Senior Compliance & Risk Officer, you will play a critical role at the intersection of trading, technology, and regulatory oversight. In this senior capacity, you will help shape the firm's overarching compliance and risk strategy, ensuring robust governance while supporting innovation and commercial growth across fast‑paced trading operations.
Key Responsibilities
1. Compliance Oversight & Surveillance
- Lead the daily monitoring of trading activity, alerts, and potential exceptions.
- Conduct deep‑dive analyses into unusual trading patterns, market abuse indicators, or operational anomalies.
- Oversee the design, enhancement, and tuning of surveillance systems to ensure high‑quality detection capabilities.
- Ensure full compliance with regulatory frameworks including MiFID II, MAR, DORA, REMIT, RTS 6, and broader algorithmic trading standards.
2. Risk Management & Control Frameworks
- Identify, assess, and escalate operational, regulatory, conduct, and technology risks.
- Design and implement fit‑for‑purpose risk frameworks, controls, and reporting structures.
- Perform regular thematic reviews, scenario analyses, and assessments of potential risk exposures.
- Advise cross‑functional teams on risk implications of new strategies, markets, or infrastructure changes.
3. Governance, Policies & Internal Controls
- Own the development, refinement, and enforcement of compliance and risk policies, procedures, and governance documentation.
- Review and approve changes to trading algorithms, infrastructure updates, system upgrades, and vendor solutions.
- Maintain high‑quality documentation that satisfies audit and regulatory standards.
- Support senior leadership with governance materials, decision‑making processes, and strategic compliance input.
4. Regulatory Relations & Reporting
- Oversee the accuracy and completeness of all regulatory reporting obligations.
- Act as a point of contact for regulators, exchanges, and external auditors.
- Monitor regulatory developments and interpret their operational and strategic impact on the business.
- Prepare briefing materials and coordinate timely communication with external authorities.
5. Training, Awareness & Stakeholder Engagement
- Deliver training sessions to trading, engineering, and operational teams on compliance expectations, market conduct, and emerging regulatory topics.
- Strengthen awareness and accountability across the business through clear and pragmatic communication.
- Serve as a trusted senior advisor-able to translate complex regulations into practical, business‑aligned guidance.
- Contribute to a culture where compliance and risk are integrated into everyday decision‑making.
Ideal Candidate Profile
- Bachelor's or Master's degree in Law, Finance, Economics, Business, or a related field.
- 5-8+ years of relevant experience in financial markets, ideally in proprietary trading, market making, or investment management.
- Strong understanding of MiFID II, MAR, RTS 6, DORA, REMIT and the governance of algorithmic trading environments.
- Solid grasp of market structure, trading products, risk dynamics, and technical systems.
- Excellent written and verbal communication skills; able to influence and challenge effectively at a senior level.
- Highly organized, analytical, and capable of managing several priorities in a dynamic environment.
- Proactive, detail‑oriented, and confident in driving improvements across compliance and risk functions.
FAQs
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