Head of Compliance
A City based Capital Markets firm requires a Head of Compliance for their London branch.
The successful candidate will hold the UK Financial Conduct Authority (FCA) controlled function of CF10, Compliance Oversight and CF11 and Money Laundering Reporting Officer for a separate group company. You will be responsible for the day to day management of all compliance within the London branch and will have a reporting line to the Head of Compliance in Paris to enable coordination of compliance policies. The role will involve developing compliance activities across all areas of the business, and coordinating these within the framework of the overall Group compliance strategies. Specific responsibilities will include:
Responsibilities will include
1.Compliance procedures and policies
2.Regulatory advice and queries
3.Training and awareness
4.Compliance monitoring programme
5.Rolling business reviews
6.APER and exchange registration
7.Management reporting
8.Maintaining relationship with head office
9.New Client approval processes
My client is looking for a candidate who has held a position as a number two within a compliance department and is looking to step up and take full responsibility. You should have experience of working within a UK compliance department, supporting equity products and services. In addition you should have experience of being CF10 / CF11 registered (ideally) and a sound knowledge of FCA rules and their application to a commercial business.
This is an urgent role so we would advise candidates to submit their CV straight away.
Advantage Resourcing is a service driven recruitment consultancy.
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