Head of Compliance recruitment
Job Description
All IPO is looking for an individual who is keen to come on board to immediately help shape and grow the business. You will provide advice to all 3 business lines as well as advising the Board of Directors on Compliance related matters and how changes in regulation may affect the business. Above all you will have full ownership for compliance policy within our regulated company.
Other duties (but not limited to) will include:
The responsibility of AML and client due diligence; approval of financial promotions; maintain up-to-date Insider Lists and monitor personal account dealings; produce and submit quarterly regulatory Gabriel system reports; staff training and guidance on subjects such as money laundering, TCF and any regulatory announcements; review and recommend any changes to the current internal practices, measures, procedures and controls and conduct compliance monitoring to ensure that business activity is adhering to FSA regulations.
Skills/Experience
The ideal candidate will be professional with significant compliance experience, preferably from a stockbroking or corporate background.
Current or recent holders of CF10/CF11 preferred, although candidates looking to make the step up will be considered.
Experience of corporate finance is also a bonus, but not essential.
Effective communication skills with the proven ability to deal with staff at all levels.
Strong, clear and precise verbal and written skills.
Ability to work effectively in a standalone role, but also work as part of a broader team.
You will be eager to contribute to driving the business forward with a "can do" attitude.