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Head of Compliance

Head of Compliance

Place of work: Bromley

Job type: Full time

We are:

In just over 15 years, OSTC has become one of the leading trading companies in the world. Our success is focused on hiring and developing talented people and helping them to perform to their maximum and fulfill their potential. We’re a trading company, however, unlike many other trading companies we are continually innovating new products to support our business.

The role:

We are looking for an experienced compliance professional to head up the compliance function (SMF 16), who will report directly into the Chief Risk Officer.

In this role, you will have the opportunity to use your compliance experience to solve challenging business problems, whilst being responsible for setting standards, and ensuring compliance with rules/regulations.

You are: 

An experienced Compliance professional with Team management experience and the ability to manage remote teams and work with global counterparts. An experienced Compliance professional

You have already gained experience in providing oversight of MiFID II and MAR compliance including algorithmic trading, regulatory market making, and risk controls. 

You have strong interpersonal skills with the ability to communicate with staff at all levels of the organisation as well as with external stakeholders. You are a self-directed and independent professional with strong initiative, organisational skills and ability to work well under pressure.

Responsibilities: 

  • Responsible for building and management of the OSTC compliance framework.
  • Leading a small team of 3 responsible for ensuring compliance with regulatory obligations.
  • Provide timely and accurate advice on compliance requirements and work with relevant OSTC teams to design and implement appropriate controls.
  • Providing oversight of MiFID II and MAR compliance including algorithmic trading, regulatory market making, and risk controls. 
  • Conducting risk assessments and manage the compliance monitoring (CMP) and testing programme in accordance with regulatory expectations and best practices.
  • Liaising with external (e.g. FCA, advisors, vendors, partners, etc.) stakeholders as required.
  • Leading Compliance-related projects and initiatives including new license applications, regulatory change projects, system design, and implementation, etc.
  • Preparing and present regulatory reports, annual compliance testing, and remediation reports to senior management and the OSTC Group Board of Directors as required.
  • Regulatory horizon scanning.
  • Assisting in organising the training to ensure awareness of and understanding by all employees of their responsibilities in relation to compliance.
  • A member of the governing body and risk committee, attending regular committee meetings.
  • Advising management of regulatory changes affecting the business.
  • Acting as a Data Policy Officer under GDPR regulations.

Person specification: 

  • Experience of providing Compliance Oversight Function (CF10/11), or SMF 16/17 within a solo-regulated core or enhanced firm.
  • Extensive FCA regulatory compliance experience including managing compliance programmes and transaction reporting oversight.
  • Thorough knowledge and understanding of MiFID II and Market Abuse Regulation (MAR) and Senior Manager Certification Regime (SMCR).
  • Experience using technology to effectively monitor compliance with areas such as market abuse, conflicts, and money laundering regulations.
  • Strong project management skills with an interest in technology enablement for scale.
  • Strong analytical skills and ability to identify and solve problems.
  • Previous exposure of international compliance regulations is a plus.

We offer:

We are offering a unique opportunity for the right individual to join our business and develop their career in a fast-paced, entrepreneurial, challenging yet rewarding and supportive environment.

  • Truly global role with challenging tasks, but tangible results.
  • Flexible working hours and working from home opportunities.
  • Company bonus.
  • Cycle to work scheme.
  • Company events.

Take the opportunity – We have built a company where financial success is tied closely to technical achievement. We are always on the lookout for people who can bring their intellect, enthusiasm, and ability to execute to the team.

Please attach your CV in English

In just over 15 years, OSTC has become one of the leading trading companies in the world. Today we have over 450 people in 14 offices around the world including the UK, Poland, China, Russia, and Spain. Our success is focused on hiring and developing talented people and helping them to perform to their maximum and fulfill their potential. 

Terms and Conditions

OSTC Limited is strongly committed to protecting the privacy of your personal information. The OSTC Job Applicant Privacy Notice explains how we treat the information you submit and we collect as a part of the recruitment process. By using the OSTC careers website and submitting your personal information through this site, you agree that OSTC Limited may process your personal information for the purposes described in the OSTC Job Applicant Privacy Notice. OSTC Limited is the data controller for the information you provide through this website.

We promote a working environment in which diversity is recognised, valued and encouraged.  OSTC is an equal opportunities employer, therefore, all appointments and promotions are made on the basis of performance and ability.

 

http://www.ostc.com/

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