Head of Stockbrokers Compliance recruitment
My client, the largest stockbroker in theUK, is urgently seeking a head of compliance to provide maternity cover for a 6-12 month period.
Reporting to the director of technical compliance, the successful candidate will lead the team that provides full time front line compliance support to the stockbrokers team, as part of product and technical compliance. Stakeholder management is a critical part of the role, and successful relationship building is key. The role holder will work with peers from other compliance areas to deliver an integrated compliance programme.
Duties will include:
- Provide seamless and responsive front line support to the contact centre business, ensuring resolution of all compliance issues across the business.
- Provide live compliance support to senior agents within contact centre
- Provide platform support, maximising use of intermediaries including work with 3rd parties.
- Provide assistance in the development of new products and business developments, ensuring the business is fully briefed on all compliance implications attached to new products or services.
- Review and ensure that controls within stockbrokers are fit for purpose, and address current and future regulatory requirements.
- Represent the compliance function at business and project management meetings as required.
- Ensure robust compliance monitoring procedures are undertaken in respect of the core risks of the business, assisting the monitoring and surveillance team with regular reviews and providing action plans.
- Work closely with financial crime colleagues to ensure support of financial crime issues is provided.
- Deliver training for employees at all levels relevant to the business area
- Represent the compliance function at key governance forums.
- Produce timely and effective management reports to the business stakeholders and compliance management.
The role holder will have a solid understanding of investment products including equities, SIPP's, ISA's financial spread trading, fund supermarkets, and will have a proven track record in managing staff.
The suitable candidate will have exceptional interpersonal skills and possess strong conflict management and influencing skills. The role holder will be a strong leader who will continually strive to improve their personal development and that of their colleagues.
For more information contact Dean Durrant at Change recruitment dean.durrant@changejobs.net , 01415668921, or apply through this advert.
