Senior Director, Trading Compliance & Surveillance

Barings LLC; Greater London; On-site; GBP 100,000 - 125,000; Full time

Job summary

A global financial services firm is looking for a Senior Director of Trading Practices Compliance in London. This key role involves overseeing daily surveillance of trading activities and ensuring compliance with regulatory requirements. Candidates must have at least 8 years of experience in investment advising and demonstrate expertise in trade compliance. The firm offers a collaborative environment where your knowledge of regulations and ability to lead initiatives can make a significant impact.

Qualifications

• Minimum 8 years of experience in investment advising or financial services.
• Deep understanding of compliance functions and asset types.
• Strong knowledge of relevant regulations like FCA Handbook, UCITS, and MIFID II.

Responsibilities

• Oversee daily surveillance of trading activities across asset classes.
• Draft and improve trading policies and procedures.
• Develop training on trading-related rules for stakeholders.
• Represent the firm in client meetings.

Skills

Trade compliance expertise

Regulatory knowledge

Interpersonal skills

Analytical abilities

Job description

A global financial services firm is looking for a Senior Director of Trading Practices Compliance in London. This key role involves overseeing daily surveillance of trading activities and ensuring compliance with regulatory requirements. Candidates must have at least 8 years of experience in investment advising and demonstrate expertise in trade compliance. The firm offers a collaborative environment where your knowledge of regulations and ability to lead initiatives can make a significant impact.