We are looking for a Chief Compliance Officer to lead the Compliance team, in an ambitious and growing FinTec brokerage firm. We offer a multi-layer of services to institutional investors, professional clients and private clients, with offices in London and Europe. It offers access to 100+ exchanges around the world to meet all our client's needs.
This varied role will cover all areas of compliance relating to our prime brokerage services to our Retail/Private Clients. To provide regulatory interpretation, guidance and where appropriate approval within the firm, to effectively mitigate the risk of non-compliance with regulatory and legislative requirements and drive the Conduct agenda from a Compliance perspective.
The ideal candidate will have previous experience working in compliance (5 years), working within the financial services industry, preferably dealing with Retail clients, and should have excellent communication, IT and organisational skills along with the ability to work to deadlines and have excellent attention to detail would be be a clear advantage for this role.
· Working within the compliance team to maintain company-wide compliance policies, procedures and internal controls
· Provide assistance on all aspects of the Compliance Monitoring programme. (Best Execution, TCF and Appropriateness/Suitability).
· Engagement with all departments in meeting the firm's regulatory obligations.
· Assist with regulatory audits and general compliance inquiries, whilst helping the Head of Compliance to build and maintain a compliance framework
· Compiling information for regulatory returns and submissions
· Review and update compliance policies and procedures for retail clients, recommend and implement changes where appropriate
· Working with the HOC carrying out regulatory changes and promoting compliance initiatives
· Support the businesses with advice/guidance and interpretations regarding existing and new business initiatives for Retail/Private Clients.
· Represent compliance as a stakeholder for projects and retail brokerage activities.
· Carrying out compliance business as usual (BAU) activities, with client reviews and on-going compliance remediation
· Producing management information on a range of compliance activities
· Working directly with the HOC on all regulatory matters, to ensure we have effective systems and controls as part of our compliance framework
· Compliance experience in a brokerage or trading firm
· Conduct reviews and investigations of breaches, incidents, and risks and report any issues to HOC
· Able to manage and maintain regulatory records
· Experience of working in a small team / company environment
· Able to work in very challenging environment, whilst carrying out a variety of compliance activities
If you feel you can adhere to the above please apply stating your current remuneration, notice period and expectations.