Associate director – Compliance/Risk

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Maxis Investments Ltd
  • 02 Feb 18 2018-02-02

An investment brokerage firm based in the Central London is currently looking for experienced compliance associate director to join their Compliance department. This role will incorporate daily compliance/risk duties across the business and will also be co-leading an ongoing MiFID II project/EMIR/Senior Management regime

As the Senior Compliance Director your duties will include:

  • Knowledge and understanding of the requirements for MIFID II/EMIR/Senior Management Regime
  • Strong MiFID II knowledge, especially around trading and market structure (MTF, OTF, OR SI)
  • Ability to draft the necessary policies and procedures to reflect the new requirements or to update existing policies
  • Supporting the training of staff at all levels
  • Desire to take over the CF10/CF11 function
  • Working closely with other teams, Operations and front office
  • Liaise with and provide guidance to the front office on compliance issues
  • Prepare reports for management giving independent and objective assurance on adherence to regulatory standards and on the effectiveness of controls in place
  • Provide a regulatory advisory service to the business on regulatory requirement
  • Prepare compliance board reports
  • Monitor changes in business practices and products to ensure that compliance procedures and controls are adequate to cover them
  • Maintain the firm's Compliance manual & AML Procedures and ensure that they are effectively communicated
  • Assist with risk management issues e.g. identifying and completing Operational Risk event
  • Ensuring that regulatory reporting and filing is completed accurately via Gabriel and other filing conduits
  • Maintain professional development
  • Knowledge and Expertise in aspects of regulatory regime such as CASS requirement

The successful incumbent will have:

  • Experience working as a compliance officer
  • Notable legal background or training with an understanding of investment
  • Capability to meet deadlines
  • Sound knowledge of the relevant sections of the FCA Handbook/EBA requirements
  • Possess strong interpersonal skills and a great team player.

If you have experience across the wealth management space at a boutique firm and have also previously held the CF10/CF11 then please get in touch.