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    Director of Compliance - London, United Kingdom - Birchlake Recruitment

    Birchlake Recruitment
    Birchlake Recruitment London, United Kingdom

    4 hours ago

    Default job background
    Full time
    Description

    This newly created role will give you the opportunity to:

    • Build the compliance operations, including the selection of relevant vendors and creation of appropriate policies and processes;
    • Conduct reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements;
    • Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations;
    • Determine the root cause of issues and develop effective remediation plans to mitigate the risks;
    • Drive implementation of local regulatory change/remediation projects and initiatives.

    What they require:

    • 7+ years of industry experience within institutional broker-dealer activities;
    • Previous experience with a broker is required;
    • Previous experience of being an SMF16 officer (Compliance oversight) and SMF17 officer (MLRO) is preferred;
    • Prior experience within the securities financing industry is a plus;
    • Strong analytical, writing, and presentation skills;
    • Highly motivated, proactive individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change;
    • Strong attention to detail, balanced with a strong focus on execution and results;
    • Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting;
    • Excellent communication skills.
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