Deputy Head of Compliance - London

Employer
Jameson Legal
Location
UK
Salary
Competitive
Closing date
8 Oct 2020

View more

Sector
Legal
Contract Type
Permanent
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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 matt.pollard@jamesonlegal.com

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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