Head of Compliance

  • £120K+ benefits
  • London, England, United Kingdom
  • Permanent, Full time
  • Non-disclosed
  • 05 Sep 16

This is a great opportunity for an experienced senior Compliance professional who has operated at senior level to join an ever growing International Financial Brokerage in London.

Reporting to the MD based in London and the CEO, the Head of Compliance will be responsible for ensuring appropriate processes, systems and structures are in place to manage compliance within the Firm’s legal and regulatory obligations. The role has responsibility for the end to end process from policy design to monitoring and reporting on compliance and for instilling a strong compliance culture within the Firm. Working as part of the Senior Management team, responsible for the day to day global compliance function and assuming the role of MLRO. Ensuring compliance with the regulatory requirements of the FCA. The role requires excellence in leadership, with proven people management skills.This role would be the holder of the CF10 & CF11 positions.

Significant experience in a similar position is ideal. You must have held the CF10 and CF11 functions. Very strong people skills, strong communication skills and strong organisational skills are a must.

Personal Attributes and Skill requirements
•Running of the Compliance department on a day to day basis
•Holder of CF10 & CF11 positions
•Responsible for operating a Compliance Monitoring Programme
•Ensuring that the Firm meets its TCF requirements
•Ensuring that all necessary materials are in accordance with the regulations
•Ensuring that the Firm is kept abreast of pipeline regulation and the potential impact on the Firm
•Ensuring that appropriate reporting is carried out in accordance with the FCA requirements
•Handling complaints & dealing with the Ombudsman as required
•Undertake transaction monitoring for the purposes of satisfying the AML requirements
•Reporting of any suspicious transactions to the NCA
•Implement and enforce compliance policies and procedures to minimise potential risk
•Maintain long lasting relationships with key business partners
•Carry out all duties associated with being a senior employee, providing clear leadership and guidance to all team members and coordinating other team members in compliance related efforts. Provide excellent subject matter on financial compliance as and when required.
•Develop a strong compliance team to support current and future business needs
•Manage requests from the Regulators as and when required


Competitive compensation package is on offer comprising of:
•Basic salary
•Benefits - pensions, healthcare & life assurance
•Annual bonus scheme