Head of Compliance - Fast-paced Securities Trading Advisory Experience Required - Ref: 3333J
Our Client, a leading boutique agency broker, is looking to hire a Compliance Manager to advise and support all aspects of the business from a regulatory and compliance perspective. Duties will include:
• Advising the business on regulatory matters such as Conflicts of Interests, Market Conduct, COBs, SUP, Best Execution
• Reviewing and updating internal policies e.g. the Compliance Manual, Conflict of Interest, Best Execution, and AML.
• Perform monitoring and surveillance reviews in line with the compliance monitoring program (including trades, electronic communications, PA Dealing Policy etc).
• Performing KYC/ due diligence checks in line with internal policy requirements, sanctions screenings and applying enhanced due diligence where required and investigating relevant findings using information sources
• Reviewing and approving financial promotions prior to publication to ensure compliant with FCA rules and requirements
The ideal candidate should have a detailed knowledge of FCA Handbook rules as well as experience of advising front office trading desks on regulatory/compliance requirements in a fast paced environment. NB This role will be in full charge of compliance and depending on seniority will either hold the current CF10 & 11 or else a Board member will hold (salary set accordingly).
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin or send your details to him.
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.