Head of Compliance and Legal - Brokerage - City

Morgan Spencer
London (Greater)
11 Feb 2018
16 Feb 2018
Contract Type
Full Time
Our client, an established Brokerage in the heart of the City, are looking for a Head of Compliance and Legal who has gained Brokerage experience. The successful candidate will have experience of assisting and leading in areas of Regulatory Ccompliance, including compliance monitoring, assisting with legalcontracts review and advise on regulatory aspects of the products being launched, i.e. advisory, execution, AML/KYC, custody, etc. You will also play a key role in the implementation and ensuring
compliance with MiFID II and GDPR regulations. This is a fantastic opportunity to join a highly progressive company who offer career advancement.

The Role
 Responsible for all Compliance matters;
 Keeping abreast with all relevant legislation, MiFID II, GDPR, SM&CR and any other legislation
that impacts the firm;
 Manage staff (one (1) compliance analyst at present) and day to day issues as they arise and
cover staff duties as and when required;
 Responsible for executing the Compliance Program of the Firm;
 Responsible for overseeing the Firm’s monitoring program;
 Reporting to the Board in relation to all reports required, applications submitted to the
regulator as and when required (Gabriel, SYSC internal reports, MLRO reports (annual and can
even be biannual if requested);
 Responsible for FCA visits (impromptu or thematic, guidance, consultations etc.) and market
data audits by our platform providers;
 Responsible for drafting, reviewing, testing and updating of all compliance documents,
procedures and policies;
 Responsible for drafting, reviewing and executing a range of company and general documents
and agreements, liaise with external lawyers as and when required;
 Responsible for all compliance training, induction and addition of training such as
whistleblowing procedures, informing the staff of who the CF11/MLRO, whistleblowing
contact is etc.;
 Funds/Markets/Asset classes knowledge; and
 To be appointed as the First Aid Officer when cover is needed.
 The above is a non-exhaustive list of duties and of course, ad-hoc tasks may be added to
the list;
 Legal experience highly desirable.

The Person
- Funds/Markets/Asset classes knowledge (essential) from a retail or wholesale firm;
- Detailed knowledge of financial services regulations
- Recent experience of carrying out the responsibilities of CF10 & CF11
- Knowledge and experience of best practice compliance and
governance frameworks, methodologies and emerging practice,
compliance monitoring and risk assessments in the context of the UK
financial services industry.
- Experience of communicating with regulators and assisting with
regulatory enquiries and inspections.
- exposure to blockchain is a plus

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EQUAL OPPORTUNITIES Morgan Spencer Recruitment is committed to equal opportunities and actively seeks applications from all sectors of the community irrespective of gender, race, colour, nationality, ethnic or national origin, disability, marital status, sexual orientation, having responsibility for dependents, age, religion/beliefs, or any other reason which cannot be shown to be justified.

CONFIDENTIALITY: All applications are dealt with in strictest confidence and will be processed in accordance with the Data Protection Act 1998

Morgan Spencer Limited, registered in England & Wales No: 4254114

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