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A well-respected independent equities brokerage is looking for a Head of Compliance to assume the CF10 and CF11. The company has a sound reputation among its peers as one of the market leaders in qualitative terms - they are renowned for having the premier analysts among their staff. The company operates mainly within the European equity markets, providing a high calibre service to its clients.
As Head of Compliance, you will be expected to draft and maintain compliance policies to adhere to regulatory requirements. You shall maintain a strong understanding of regulation, new and old, and adjust the compliance procedures accordingly. You will be the point of contact with any regulators, sustaining a strong relationship with all. It is your responsibility to deliver adequate training to staff, ensuring they are well versed in their regulatory requirements. You shall develop the compliance monitoring plan and execute efficiently. You will be expected to conduct risk-based reviews across the business, identifying any risks.
The ideal candidate will ideally have had experience as a CF10 or CF11. You will possess a strong knowledge of the equity markets as well as having a good understanding of any regulation impacting the business. You will be a strong communicator, as you will be expected to liaise frequently with internal stakeholders and regulators.
If you feel you have the pre-requisite experience to succeed in an application, please contact Liam Connolly on 020 3465 0110 for more information.