CF10
Key Responsibilities / Duties:
As CF10 you will have overall responsibility for all aspects of the Compliance function at the firm (MTF compliance and broker compliance) - policies, governance, training, education, etc.
You will be the key owner of the firm's relationship with the FCA and other regulators
You will have oversight of the Market Surveillance function
Person Specification:
Experience leading, training and supervising a team of compliance professionals
Experience of financial markets either in legal, compliance or market surveillance (in a broker, exchange/MTF, investment bank or trading firm)
Proven track record of working as a senior legal or compliance role, ideally for a financial services firm
Strong regulatory knowledge; experience of dealing with UK and global regulators/ regulations being desirable
Excellent communication skills both verbal and written
Experience of expanding a compliance division/team would be very beneficial
Comfortable with working in a technology driven environment with a great deal of responsibility and autonomy
Desire to contribute to success in areas beyond the core legal and compliance areas
If you fit this profile or would like more details please contact Martin Joyce on 0207 332 0300
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