Head of Compliance needed at Stockbroker recruitment
A reputed retail and institutional broker requires a new CF10/CF11 on a part-time basis at their headquarters in London. This is an excellent opportunity for an experienced compliance professional that would benefit from working 3 days a week at this stage in their career.
The Head of Compliance will act as an independent advisor and report directly to the CEO as an in-house consultant on compliance rules and interpretation.
Key Responsibilities:
Enhance and develop regulatory and in-house procedures
Manage the firm’s relationships with regulatory bodies
Develop the compliance monitoring programme
Complaint handling
Money laundering controls
Financial promotions
MI reporting
Continual training of staff on matters related to compliance
Key Skills:
Essential –
Experience working in a retail private client stock broking environment
Thorough knowledge of FSA regulation particularly COBS, CASS and COLL
Excellent report writing
Industry qualification (CISI, IMC or other)
Confidence and team working capabilities
Working knowledge of equities, CFDs and spread betting
Desirable –
FSA registered, previously held CF10 and CF11
Location: Central London