Compliance Team Lead Audit Control Framework Market Data Banking

Compliance Team Lead Audit control framework market data Banking

My client is a leading global financial services firm and a market leader in providing financial news and information. They require a compliance professional to oversee their market data and exchange legislation. Prior experience of market data is not necessary they require someone with strong audit skills who is also able to define and monitor a control framework around data license issues and regulatory issues relating to exchanges and market data.

Initially your primary focus will be undertaking an audit of current processes, designing a new framework and the subsequently ensuring this is monitored effectively and properly documented going forward.

THE ROLE:

- Provide advice to potential and existing clients, on exchange compliance policies and License fees
- Advising affiliates on compliance issues and exchange protocols
- Prepare and participant in audits
- Ensuring all clients are exchange compliant
- Exchange reporting

EXPERIENCE REQUIRED:

-Relevant industry experience, within a market data vendor
-Experience working within market data either buy or sell side
-Knowledge of Exchange & Third Party reporting