Head of Compliance

  • GBP90000 - GBP140000 per annum + bonus
  • London, England, United Kingdom
  • Permanent, Full time
  • DBFS
  • 19 Sep 16

My client is a leading financial services firm looking to hire a new Head of Compliance . This role will report into the Chief Risk Officer.


  • As CF10/CF11 for you will have responsibility for the Compliance Oversight function including AML at the firm maintaining and updating policies, governance, training, compliance monitoring etc.

  • You will be the key liaison in the firm's relationship with the FCA and other regulators as a regulated Broker, including managing projects for new permissions/licences.

  • You will be part of the Broker senior management team and responsible for compiling MI for and a key participant in a monthly Broker senior management Meetings.

  • To monitor and communicate compliance concerns to the Operational Risk Committee and Chief Risk Officer

  • Act as point of contact within the company for compliance queries, providing advice and support to the business on a range of compliance related issues

  • To prepare and deliver an annual Compliance Monitoring Plan

  • To prepare and deliver an bi-annual MLRO reports

  • Play a key role in the establishment of policies and procedures, and the assessment and monitoring of compliance requirements

  • As CF11 Provide advice to the business on AML matters

  • Investigating SAR's and file NCA reports, where appropriate

Experience and Skills Required:

  • Experience supervising a team of compliance/AML associates

  • Compliance experience FX or CFD broker,

  • Up to two years' experience as CF10/11 or looking for first role as CF10/11

  • Strong regulatory knowledge;

  • Excellent communication skills both verbal and written

  • Comfortable with working in a young, technology driven environment with a great deal of responsibility and autonomy

  • Desire to contribute to success in areas beyond the core compliance areas

  • Solid and current experience working within a compliance role

  • Proven track record in building strong and constructive relationships with colleagues