Deputises for the Head of Compliance Division in day-to-day management of the Central Surveillance team. Has extensive technical knowledge of applicable rules and regulations as they apply to the covered business. Interacts with and ability to influence senior management. Provides day-to-day regulatory advice on application and implementation of rules. Key escalation point for other members of the relevant Division. Management of junior team members. Responsibilities:

• Support the Head of Central Surveillance in the management of the Trade & Communications Surveillance programme for EMEA & APAC.
• Represent EMEA & APAC regions on global Trade & Communications Surveillance projects.
• Oversight for personal account dealing processes for UK, including outside business activities, personal account trading and other conflicts of interest processes, including Mandatory Time Away (MTA) checks.
• Maintenance of surveillance records and documentation including key operating procedures, policies, risk assessments, STORS and near miss submissions, trend analysis, quality assurance, etc.
• Management and oversight of outsourced team in Poland (currently 6 employees) including training and performance management.
• Analysis and interpretation of relevant laws and regulations, including identifying changes to these that could affect the business.
• Producing Management Information (MI) reports.
• Providing advice and training to the business on market abuse related matters.
• Work with surveillance vendors to ensure smooth relationships, timely escalation, and resolution of issues.
• Oversee the calibration of surveillance alert scenarios and communications surveillance lexicon processes.
• Oversight of information barriers processes, including wall crossings, deal logging etc.
• Support new business initiatives e.g., new products/jurisdictions, acquisitions.
• Some travel will be required.
  
  To land this role you will need:
Essential:
• Fluency in business English
Preferred:
• University degree/Professional Compliance Qualification
• At least five years' relevant experience
• Strong knowledge of applicable regulations e.g. MiFID II, MAR
• Strong Working knowledge of FCA handbook
• Strong knowledge of products and markets that SFL is active in:
Wholesale Products - Ags, Dairy, Energy, LME, FX and Precious Metals

With more than 4,500 employees and 400,000 retail and institutional clients from more than 80 offices spread across five continents, we're a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets - focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth. We engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you'll have the opportunity to optimize processes and implement game-changing policies.