Head of Compliance & Risk
HEAD OF COMPLIANCE RISK - (STOCKBROKER) – LONDON
We are seeking a part time Head of Compliance and Risk (CF10 CF11) to join an expanding Stockbroking and FX trading company based in the heart of London’s financial district. Read on....
Authorised and regulated by the Financial Conduct Authority our client provides equities, CFDs, and FX trading opportunities to an established base of retail customers. Reporting to the Director of Finance and Operations this is a unique opportunity for a Head of Compliance Risk (CF10 CF11) to join this dynamic business on a part time basis.
Involved with all aspects of compliance you will lead the provision of policy guidelines, monitoring programmes, compliance reviews and associated management reporting to ensure that the company complies with all regulatory requirements placed upon it by all the relevant authorities / acts. In more detail this will include:
- Providing oversight of Compliance for the business in order to identify, monitor and manage regulatory risks (holding CF10 and CF11 MLRO);
- Identifying and analysing business risks;
- Lead all compliance monitoring within the business;
- Amending the Compliance Manual and all associated documents as and when required;
- Ensuring all customer complaints are logged, reviewed and actioned within a timely manner;
- Acting as the company liaison with the FCA, fostering good relationships;
- Preparing reports for the FCA as well as monthly reports for the Directors and quarterly Board reports;
- Liaising closely with Sales Managers, Directors and other areas within the business;
- Ensuring adequate systems, controls and procedures are fully documented and in place to cover all areas of the business.
Who should apply?
Combining an excellent understanding of regulatory frameworks (including: legislation, regulation and best practice) with an in-depth knowledge of financial products and services, you should be an accomplished Head of Compliance / Compliance and Risk Officer or similar who can demonstrate:
- Previous commercial experience gained within a similar area (CF10 CF11);
- A sound knowledge of the FCA handbook;
- The ability to lead all aspects of Compliance;
- Excellent communication skills including the ability to produce detailed reports.
This is a unique opportunity to join a leading financial organisation that offers you the platform to progress your career whilst shaping the Compliance department that supports a growing business. Get in touch...
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IMPORTANT: You will only be considered for this vacancy if you complete the short application form on the Guru Careers website...
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