Head of Compliance – Part time (up to 2 days per week)

THE COMPANY:

Our client is a well-established London-based brokerage firm, looking for an SMF16 (Compliance Oversight) on a part time basis.  The role will require up to 2 days per week .

THE RESPONSIBILITIES:

• Responsible for the Firm’s performance of its obligations under the FCA’s regulatory regime for a UK 750k MiFIDPru Investment firm treating Retail, Professional, and Eligible Counterparties.
• Horizon scanning of all proposed changes to the UK financial regulatory regime as applicable to MiFIDPRU firms.
• Internal reporting to the Governing Body.
• Accountable for complaints handling and reporting.
• Liaise and support the MLRO. Oversee the firm’s compliance with evolving AML environment.
• Engagement with exchanges and clearing houses.

EXPERIENCE REQUIRED:

• 7+ years work experience as a regulatory lawyer and/or as an SM16 and/or in regulatory enforcement.
• Excellent verbal and written communication skills.
• Sound computer literacy skills e.g. Microsoft Office (Word, Excel etc.) and MS Outlook.

For further information please contact Hannah Tabatabai