Key contributor in Integrated Resource Planning at Duke Energy. Prepare executives for regulatory testimonies on future energy demands and regulatory compliance.
About the role
- AM Compliance Manager focusing on market conduct and trading oversight at Phoenix Group. Collaborating closely with risk teams to improve procedures and contribute to compliance initiatives.
Responsibilities
- Provide regulatory advice across a broad range of regulations and products, including EMIR, SFTR, MIFID II.
- Monitor the completeness and accuracy of all reporting obligations by Phoenix Asset Management inclusive of reconciliation activity.
- Contribute to the ongoing strengthening of the compliance control framework including establishing new controls and writing new policies and procedures.
- Oversee core regulatory processes such as Threshold Monitoring, Transaction integrity, Derivatives reporting and Best Execution and trader governance.
- Undertake compliance testing and ensure that corrective action is taken where necessary.
- Help prepare and deliver the annual compliance plan.
- Help prepare and deliver the annual compliance training program, deliver specialized content face to face as necessary.
- Contribute to the development and management of the suite of compliance policies and procedures in line with relevant legislative and regulatory requirements.
Requirements
- Advisory experience within asset management, legal, or consultancy environments, with strong regulatory interpretation skills.
- Technical knowledge of regulations and products, especially MiFID II, EMIR, SFTR, and securitisation.
- Solid understanding of front office systems and controls, including MAR, Best Execution, and MiFID II.
- Strong grasp of regulatory reporting requirements, particularly EMIR and knowledge of MiFiR, and global legislative processes.
- Excellent communication, attention to detail, and a commercially minded, business-enabling approach.
- Degree or equivalent level of industry and technical experience
Benefits
- Up to 16% to 32% bonus
- Private medical cover
- 38 days annual leave
- Excellent pension
- 12x salary life assurance
- Career breaks
- Income protection
- 3x volunteering days
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