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HEAD OF COMPLIANCE - (STOCKBROKER) - LONDON / CITY
We are seeking a Head of Compliance to join an expanding Stockbroker and Corporate firm based in the heart of London’s financial district. Read on....
Our client provides equities, CFDs, and FX trading whilst also handling IPOs and private equity placements for its corporate clients.
Your main responsibilities will include:
- Providing oversight of Compliance for the business in order to identify, monitor and manage regulatory risks (holding CF10 and CF11 MLRO).
- Presenting reports to management and relevant committees on the identification and management of regulatory risk.
- Overall responsibility for the production of Compliance MI including accuracy of content and timeliness of delivery.
- Supervising and developing the Compliance team on a day to day basis.
- Effectively managing regulatory risk within the risk appetite of the Firm.
Who should apply?
You should be able to combine an excellent understanding of regulatory frameworks (including: legislation, regulation and best practice) with an in-depth knowledge of financial products and services, you should be an accomplished Head of Compliance or a competent individual looking to step up to the Head of Compliance role and capable of playing a key part within a growing business.
Your experience should cover the following:
- Solid commercial experience gained within a Compliance department, Retail Stockbroker or similar.
- Knowledge of FSA handbook, particularly COBS and TCF.
- Knowledge of AML procedures and processes.
- Good working knowledge of financial products: equities, CFD’s, Forex and discretionary management would be very desirable.
- Educated to degree standard or equivalent.
In return you will be joining a leading financial organisation that offers you the platform to progress your career whilst shaping the Compliance department that supports a growing business.
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Guru are an employment business renowned for delivering careers networking and in this instance Guru are managing the selection process for this particular Head of Compliance campaign on the behalf of our client. We offer a transparent service to both clients and candidates which means that if you pass our initial filtering criteria (based on your CV suitability against our client’s requirements) we will email you with the client’s details and also pass your complete application to the client for consideration. By applying to this role you are granting consent for us to work in this way. One final note, your application will only be used in conjunction with this specific role.