| Job Title: | Head of Compliance |
|---|---|
| Reference: | Compl2949 |
| Salary: | up to £90,000pa |
| Location(s): | London, London East, London North, London South, London West, Middlesex, City of London |
| Industry(s): | Financial Services |
| Advertiser: | Compliance Professionals Ltd |
| Employment Type: | Permanent |
| Posted: | 12-05-2008 |
Description:
THE COMPANY:Our client is a leading Stockbroker based in the UK. They offer a range of products and manage a number of clients which include private, retail & corporate investors amongst others. They are currently seeking someone to head up their compliance team. This is a fantastic opportunity to join a growing company & further your career within the compliance field.
THE RESPONSIBILITIES:
To provide strategic guidance on regulatory initiatives, and new business proposals, ensuring that at all times the Firm has a good understanding of regulatory implications
To ensure that the firm’s compliance systems, controls and monitoring procedures remain at all times appropriate to the nature, scope and scale of its business activities
Develop, document and implement appropriate systems, controls and procedures that encompass all group regulated activities
Compilation of appropriate and comprehensive monthly compliance reports in conjunction with the Compliance Monitoring Plan.
Maintenance of an appropriate Compliance Monitoring Plan.
Effective day-to-day management of the firms Compliance teams
To embed in the company values, a thorough “compliance culture”
Develop, implement and maintain appropriate policies, procedures and manuals.
Compliance Induction of new members of staff.
Liaison with Human Resources with respect to Training, Competence and Appraisals.
Annual “Fit & Proper” testing.
To help promote the firm’ reputation by developing and maintaining appropriate links with relevant professional bodies.
EXPERIENCE REQUIRED:
Compliance experienced gained within a stockbroking environment
Products: Corporate Finance, CFDs, Advisory broking
Educated to degree level
For further information please contact Hannah Tabatabai
