CF10/CF11 Head of Compliance
This leading Equities Brokerage is looking for a CF10/CF11 Head of Compliance to take responsibility for the day to day management of all compliance within the London branch of the business.
Responsibilities include but are not limited to:
*Ensure compliance with all internal and external regulation
*Reviewing and updating all compliance policies and procedures
*Providing regulatory advice to all areas of the business
*Designing and implementing a comprehensive risk and rules based Compliance Monitoring Programme
*Planning and conducting regular risk based business reviews across all areas of the business
*Management Information reporting to European Head Office
The successful candidate is likely to have:
*CF10/CF11 Approved Person Registration
*Strong knowledge of FCA rules and their practical application
*Strong knowledge of equity products and market practices.
*Relevant experience in a UK compliance department working with equity products and services.
*Excellent written and verbal communication skills at all levels
*Ability to juggle multiple responsibilities whilst maintaining a high level of attention to detail and working to tight deadlines
If you are interested in the role and feel you are suitable please submit your CV.
Advantage Resourcing is a service driven recruitment consultancy.
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