Head of Compliance
Our organization relies on a robust compliance framework to ensure regulatory adherence and maintain our competitive edge. As Head of Compliance, you will oversee the development and implementation of policies, procedures, and processes that safeguard against market abuse, Anti-Money Laundering, Counter Terrorist Financing, Sanctions, and Know Your Customer (KYC) risks.
You will determine the appropriate course of action for filing Suspicious Transactions with regulatory bodies and provide oversight of engagement with financial institutions and other stakeholders. Your responsibility will be to ensure accurate and timely compliance advice is provided to business lines, including responding to ad-hoc queries.
You will contribute to the development of formal projects, new products, and business proposals, considering reputational risk matters. You will also train staff in assessing regulatory risks and changes and oversee the execution of a risk-based compliance monitoring program.
Key Responsibilities:
* A minimum of 10+ years' experience in a compliance role, ideally holding PCF-12 & 52 roles within a MiFID Investment firm - with a focus on equities / CFD's.
* Experience of working with systematic internalisers, MTFs, Exchanges or algorithmic trading tools (RTS 6), in a highly regulated environment.
* Demonstrable deep interest in financial markets and working knowledge of the brokerage industry, particularly with retail flow.
* Comprehensive and up-to-date knowledge of market practices and their regulatory requirements, including IFR/IFD regulation.
* A minimum 2:1 degree within a relevant field, e.g., Business, Law, Economics.
* Excellent written and verbal communication skills, with the ability to convey complex concepts clearly and effectively.
* Proven ability to work under pressure, demonstrating adaptability and a driven attitude to achieve goals.
* High attention to detail and accuracy, with a proactive approach to problem-solving, maintaining documentation, and understanding regulation.
* Strong leadership skills with the ability to mentor and develop junior team members.