Deputy Head of Compliance – Exchange/MTF recruitment
A successful multilateral trading facility are seeking a deputy head of compliance to join them due to expansion. This is an exciting and progressive business who are offering a unique opportunity to an accomplished compliance professional with an intimate understanding of FSA regulated trading platforms.
As this is a small team your activities will be diverse so your duties will include but not be limited to –
- Resolution of day-to-day compliance queries and assistance in the maintenance of the compliance manual and rulebook.
- Oversight of the compliance monitoring programme
- Monitoring the regulatory landscape in view of new legislation and the development of interdepartmental policies to negate any potential risks that may arise.
- Supporting the on-boarding of new participants and resolving any participant queries.
- MLRO responsibility for the business.
The successful incumbent will have significant experience working in a trading environment, and a solid understanding of the regulation governing exchanges or MTF’s. A proactive desire to make a difference to a growing firm and influence the regulatory culture is essential.
If you feel you have the relevant experience please call Francis Barnett on 02073983600 or apply through efinancial careers.