Deputy Head of Compliance - London

Jameson Legal
Closing date
8 Oct 2020

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Contract Type
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A brokerage firm are looking to hire a Deputy Head of Compliance Officer to support the Head of Legal and Compliance and lead the day-to-day compliance activities.

Key responsibilities:
  • Compliance advisory to the business
  • Maintenance and ongoing development of the compliance monitoring programme
  • Advising senior business management on policies and regulatory matters, assist the front office in devising and operating effective 'first line of defence' controls
  • Development and ongoing of the compliance manual including policies and procedures
  • Horizon scanning and reporting of regulatory developments to the business
  • Regulatory reporting
  • Interacting with the regulators and exchanges

Successful candidates will have:
  • Knowledge of Futures and options, CFDs across multiple products
  • Advisory compliance experience within a brokerage
  • Understanding of relevant FCA rules, including the Market Abuse regime and recent UK and international regulatory developments (e.g. MiFID II, EBR, MAR, SFTR, SMCR, GDPR, etc.)
  • Experience managing a team including objective setting and mentoring
  • Experience interacting with regulators
  • Excellent communication skills, written and verbal

For a confidential chat about this or other roles he his handling, please contact Matt Pollard at

Jameson Legal acts as an employment business for temporary recruitment and as an employment agency for fixed term contract and permanent recruitment.
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