Compliance Officer

Job Description

Clear Street is seeking a Compliance Manager to enhance its regulatory control framework in London. The Compliance Manager will collaborate with the Head of Compliance to ensure adherence to all relevant UK laws and regulations, covering conduct of business, SMCR, client assets, RTS 22, EMIR, SFTR, best execution, and conflicts of interest. This encompasses policy development, advisory services, training, monitoring, investigations, reporting, and stakeholder engagement. The role involves managing software integral to the control program, including vendor management. Responsibilities include offering regulatory guidance, enhancing compliance controls, overseeing regulatory processes, conducting risk assessments, contributing to compliance plans and training, undertaking monitoring reviews, staying updated on regulatory changes, developing compliance policies, investigating breaches, assisting with audits, coordinating with regulators, providing documentation, guiding new initiatives, promoting compliance culture, and ensuring accurate regulatory returns.

• Providing regulatory advice across a broad range of regulations and products.
• Contributing to the ongoing strengthening of the compliance control framework.
• Overseeing core regulatory processes.
• Conducting and / or oversee compliance risk assessments.
• Helping prepare and deliver the annual compliance plan.

• Ten years of experience in a compliance role within the wholesale financial services industry.
• Strong understanding of UK and international regulatory legislation.
• Detailed knowledge of the CDD requirements for onboarding complex and high-risk clients.
• Excellent analytical, problem-solving and decision-making skills.
• Strong written and verbal communication skills.

• Competitive compensation packages
• Company equity
• Pension
• Gender neutral parental leave
• Full medical and dental insurance