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Hed of Legal & Compliance (SMF 16 & 17)

Page Executive
London, UK
Closing date
16 Oct 2020

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Job Details

Brokerage firm covering equities, FICC, Research and corporate finance

  • Oversee the Compliance function to ensure the London Branch is operating within all rules and guidelines from FCA, ESMA, the Takeovers Panel, LSE and other UK regulatory authorities relevant to the business conducted by the London Branch
  • Ensure the full compliance of governance at the corporate level in the course of achieving our goals and objectives
  • Lead the Compliance team and nurture talents in various compliance areas
  • Provide pro-active advisory support to all business, control and support units in the Branch on compliance matters through effective communication
  • Formulate, maintain and update compliance related internal policies and procedures to ensure they comply with the regulatory requirements
  • Liaise with Head Office and various regulatory authorities in relation to compliance matters
  • Identify and examine relevant Key Risk Indicators("KRI") in monitoring compliance risks of financial and operational processes, performance compliance audits and propose appropriate internal control systems and measures in line with the mandate for corporate governance and establish compliance review monitoring program
  • Enhance compliance culture within the London Branch, provide relevant training and regular updates to all units to heighten staff's compliance awareness
  • Provide legal advice to board members, senior managers and employees

  • Master/Bachelor's degree or above in Law, Accounting, Finance or other related disciplines
  • At least 7 -10 years relevant work experience in a securities firm with corporation finance and equity sales business, covering various compliance responsibilities, such as AML, selling suitability, customer and product due diligence, regulatory reporting, licensing, outsourcing, data protection etc.
  • Knowledge of rules from FCA ESMA, the Takeovers Panel, LSE and other UK regulatory authorities, and law
  • Excellent communication, interpersonal skills and problem solving skills with the mind-set to team work and support business units in the London Branch
  • Strong judgement sense, crisis and risk management skills and managing to address critical issues proactively and tactfully
  • High level of professional integrity, strong analytical skills, self-motivated, assertive and meticulous
  • Ability to work and lead in a fast paced and dynamic environment, and effectively handle multiple complex and competing priorities independently
  • Good business acumen, with ability to influence staff and manager at all levels

Job Offer

competitive package and high profile role
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