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EMEA Head of Trading and Compliance Technology

Information About This Job

Job Title: EMEA Head of Trading and Compliance Technology
Contract Type: Permanent
Location: London
Contact Name: Ben Kinley
Contact Email:
Job Published: 5 months ago

Job Description

A top investment management firm is currently looking to appoint a Head of Trading and Compliance Technology (EMEA), to join their London based team.


About The Role

The IT department plays a crucial role in supporting the success of the company. We are responsible for designing and implementing state-of-the-art software to support our fund management, trading, distribution and operational areas and for maintaining a stable and resilient IT infrastructure platform. The Trading and Compliance team is responsible for development and implementation of integrated solutions comprised of Order Entry, Order Management/Workflow, Order Execution, Pre and Post Trade Compliance, Reporting and Data Flow.

You will provide leadership and guidance for a technology team based in London, motivating change in support of the company’s rapidly developing global trading and compliance platforms.

You have deep knowledge of the Order Management and Compliance System space, be able to evaluate and present options to a demanding business partner base and possess a strong desire to continuously learn about the financial industry.

You will need to participate in design and development and should be comfortable with direct communication with technical, management and business resources.


Key Responsibilities

  • Ensure consistency to company IT standards including development methodologies and documentation, technologies, quality assurance (QA), release management, change control, and production operations

  • Coordinate and partner with company Technology managers supporting other business areas to influence related or firm-wide technology and align evolving standards and solutions for optimal reuse and ROI

  • Partner with Investment Management, Trading and Investment Compliance business partners to prioritize business needs, define business requirements, and ensure end-to-end engagement throughout delivery and deployment

  • Get results in a multi-team environment through effective collaboration and a shared success model

  • Assist in the development and maintenance of a strong technology delivery team, including recruitment, coaching, and retention

  • Lead the analysis, design, and configuration of OMS, Compliance, EMS and Data Management vendor package solutions

  • Assume overall ownership of and review the analysis, testing, training development/support and launch plans as required to aid in delivery of a quality product

  • Provide periodic reporting to management regarding individual, departmental and project status

  • Handle aspects of the trading and compliance annual budget, including hardware, software, staffing, operational expenses and expenditure tracking

  • Manages permanent and contract staff. Plans, allocates and monitors work and makes decisions regarding employee and contractor hiring and training. Provides ongoing employee performance feedback in addition to formal employee performance assessments and annual compensation adjustments.

  • Provide production support for third party and custom applications as needed

  • Assist with company IT projects


Skills & Experience

  • Previous experience of running and managing an OMS change team with experience of leading a major implementation a significant advantage

  • Excellent leadership, management, communication, organization, team building and coaching skills
    Strong knowledge of project management and software development methodologies

  • Excellent verbal, written and interpersonal communication skills to both technical and non-technical personnel is a requirement

  • Ability to deliver on heavy workloads and high expectations while remaining focused and organized in a dynamic environment

  • Excellent analytical and problem-solving skills

  • Comfortable working collaboratively with business partners, demonstrating a track record of results

  • Take the wider perspective and anticipate the implications of introducing change to minimise or remove implementation issues.  As such, takes both a strategic and pragmatic view to change.

  • Knowledge and understanding of investment management, including equity, fixed income and options markets desirable


Key Competencies

  • Strong technical leadership, project delivery management, and team building skills

  • Demonstrate flexibility, sound decision making, and strong analytical and organizational skills

  • Strong working knowledge of project management and iterative/agile development methodologies

  • Team working – collegiate approach to work circulating important information and contributing to team discussion.

  • Problem solving / analysis – understanding of complex issues and problems and able to identify practical/pragmatic solutions.

  • Self-motivation and hardworking approach – a completer-finisher able to work on their own initiative with a focus on delivery.

  • Communication – provides documents that are clear, precise and comprehensible and communicates and presents in a clear and compelling manner.

  • Effective time management/planning – manages personal and team workload effectively sets realistic and achievable targets and delivers to those targets.
    Problem ownership – takes responsibility for project issues and executes to delivery.


Compliance Requirements

At a minimum, the role requires the individual to:

  • Place the interest of Clients first and always act in accordance with TCF (Treating Customers Fairly) principles

  • Understand and comply with any federal, state, and foreign laws and regulations applicable for the role, and seeking the guidance of Compliance if this is unclear at any time

  • Understand and comply with all relevant company policies applicable for the role, and seeking the guidance of the relevant policy owner if this is unclear at any time.

Ref: | Published: 27 Nov 2018