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UK Head of Compliance Advisory

Taylor Root
Closing date
9 Aug 2021

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Our client, is a Financial Markets business with an incredible portfolio of clients globally and headquarters in the UK. They are looking for a dedicated UK Head of Compliance Advisory who will work closely with the Global Head of Compliance and support the UK and Europe functions.

Below are some of the responsibilities,

  • Providing compliance review and approval of new Business specific initiatives such as new transaction structures, new jurisdictions, new systems, etc.
  • Regular engagement with Senior Management and the business
  • Providing advice on the application of global compliance policies, exchange rules and regulations.
  • Advising on new and existing products and all regulatory activities
  • Assessment of product design and distribution, institutional product governance, inducements, conflicts of interest, distributor due diligence.
  • Reviewing of product/service-related materials such as marketing materials, term sheets, payoffs/fees/commission costs, presentations and product brochures and disclosures relating to inducements.
  • Working with Legal, Compliance colleagues and other support function staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters.
  • Supporting the Compliance training program
  • Participating in the annual Compliance Risk Assessment Process.
  • Conducting and co-ordinating risk-based monitoring reviews as part of the Compliance Assurance Programme to assess regulatory requirements and internal policies
  • Identifying regulatory or reputational risks and escalating to management for resolution
  • Acting as a challenge and control function to the Business on compliance related matters including the Business owned Risk & Control Assessment
  • Developing and deliver an annual regulatory training plan for the Business as well as ad hoc trainings, as needed.
  • Providing assistance in relation to control and regulatory incidents, Internal audits and reviews within the Business.
  • Collaborating with Business and Legal on Compliant handling.
  • Proactively manage and further develop the Compliance team in London.
  • Assisting the Head of Compliance in preparing written annual reports on compliance matters for the Audit & Compliance Committee.

  • Experience working in a Monitoring, assurance or audit role within a UK regulated financial institution.
  • Strong knowledge of FCA investment firm regulation.
  • Demonstrable experience of dealing with regulatory compliance.
  • Knowledge of various asset classes including Exchange Traded Derivatives but also OTC Derivatives, FX and Equities.
  • In-depth practical knowledge and understanding of financial services law and regulation impacting activities in the UK and the ability to apply, EU regulation, FCA and PRA rules and guidance particularly those relating to MiFID, MAR to name a few.
  • An understanding of US regulations as it relates to the business activities is a plus.
  • Experience in financial services markets Compliance advisory dealing closely with the sales/trading business and partnering with them for the success of the brand.
  • Prior Compliance advisory experience from a wholesale markets background preferably 8+ years.
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