Senior Compliance Advisory - Contract - Capital Markets - JN-012026-6936226

Seeking a Snr Compliance Advisory specialist who is available at short notice.
Compliance advisory opportunity within an international Capital Markets firm.

About Our Client

The organisation is provides execution and clearing services for commodities, specifically acting as a Dealing Member of the London Metal Exchange (LME).

Job Description

Provide strategic regulatory and compliance advice to business leaders and senior management, ensuring clear interpretation of relevant rules, emerging risks, and regulatory expectations.
Lead the delivery of the Compliance Monitoring Plan, including planning, execution, reporting, and preparation of high‑quality management information.
Oversee the implementation and ongoing management of the SMCR certification process and all related governance frameworks.
Conduct comprehensive Compliance Risk Assessments and Financial Crime Risk Assessments, identifying key risks and advising on appropriate mitigating actions.
Review, update, and maintain policies and procedures to ensure full alignment with applicable regulations, including the rules and requirements of the London Metal Exchange (LME).
Develop and deliver compliance training initiatives, including the creation of engaging training materials and the delivery of sessions on relevant regulations, policies, and obligations.
Monitor regulatory developments, assess their impact on the business, and ensure timely communication and implementation of required changes.
Oversee Third‑Party Risk Assessments, ensuring appropriate due diligence, monitoring, and management of external partners and service providers.
Test the design and operational effectiveness of internal controls, identify vulnerabilities, track remediation actions, and follow up to ensure timely and effective resolution.
Investigate and resolve escalation alerts arising from surveillance and monitoring activities, ensuring appropriate escalation and remediation.

The Successful Applicant

A successful Senior Compliance Advisory professional should have:

Proven expertise in compliance advisory within the financial services industry.
Strong knowledge of UK regulatory frameworks and requirements.
Strong knowledge of rules and requirements of the London Metal Exchange (LME).
Experience in Risk & Compliance functions.

What's on Offer

Competitive daily rate ranging from £500 to £600.
Opportunity to work within a reputable financial services organisation in London.
Chance to contribute to key compliance initiatives within a professional team.
Temporary contract providing flexibility and valuable experience in Risk & Compliance.

If you are an experienced Senior Compliance Advisory professional looking for a challenging role in the financial services industry, apply today to join a dedicated team in London!

Contact

Rob Cope

Quote job ref

JN-012026-6936226

Phone number

+44 207 776 5935