Senior Compliance Officer
Reporting to the Head of Compliance & Corporate Governance to be responsible for day to day compliance activities relevant to Moscow branch. Develop and manage compliance policies and procedures to facilitate adherence to relevant regulation on an ongoing basis. Implement compliance controls to monitor and identify areas of regulatory risk. Provide regular updates and management information to the Head of Compliance, ensuring prompt escalation of issues.
- Work alongside the Head of Compliance to develop and maintain Compliance policies and procedures relevant to Moscow branch to prevent illegal, unethical or improper conduct.
- Monitor and manage adherence to compliance procedures on a day to day basis, recommending amendments and adjustments to improve efficiency.
- Provide regular feedback to the Head of Compliance, ensuring prompt escalation of issues.
- Identify potential areas of vulnerability and risk; propose corrective action plans for resolution of problematic issues, and guidance on how to avoid or deal with similar situations in the future.
- Provide the Head of Compliance with regular reports/management information in relation to monitoring outputs and risks.
- Represent and promote compliance when dealing with the business, encouraging two-way contact and communication. Strengthen relationships between Compliance and other business and operational areas.
- Respond to general compliance queries in a timely and professional manner, escalating matters promptly where required.
- Conduct periodic compliance audits and reviews to ensure the firm continues to meet its regulatory duties on an ongoing basis.
- Develop a compliance training programme and provide Compliance training to Branch staff.
- Assist the Head of Compliance in other bespoke tasks and ad hoc requests
- Monitor for forthcoming regulatory changes and assist the Head of Compliance in the preparation of gap analysis to compare current versus new rules where required.
- Be familiar with BCS UK compliance procedures and understand the role of BCS UK in the context of its international activities.
- University degree
- Minimum 3 years’ experience in a senior Compliance function for a financial services firm
- Good knowledge of Russian financial regulations, procedures and controls
- General knowledge of Russian financial markets, exchanges & products (equities, derivatives, FX & fixed income)
- Good communication & organisational skills
- Competitive compensation
- Bonuses by results of work
- Total compliance with all legal requirements
- Office location near m. Prospekt Mira.