Head of Regulatory Compliance - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Key Responsibilities

Day to day management of the Regulatory Compliance team
Work with the UK Compliance, Risk and Audit Manager to ensure good practice in all our activities
Acting as the first point of contact for the business and Executive team for any legal regulatory compliance advice
Legal & Compliance Horizon monitoring, updating business processes and policies across the group
UK and Europe
Work with the firms front office sales and dealing teams to provide oversight of their activities
Advise/Review and Create where necessary external client/supplier contracts, partner contracts / Terms of Business with a commercial viewpoint to ensure the needs of the business are met
Vendor Assessments and monitoring all contractual NDAs, T&Cs etc across the business
You will have experience of investment services and MiFID and as we have European operations, you may also have experience in Italian or Spanish compliance/law, however this is not essential
Conducting monitoring of existing clients, dealing functions and other MIFID activities
Work with the Compliance team provide guidance, advice and training to the firms staff in relation to Compliance matters.
Maintaining compliance policies, procedures and other central compliance duties
Reviewing all legal documentation
Advise/Review and Create where necessary external client/supplier contracts, partner contracts / Terms of Business with a commercial viewpoint to ensure the needs of the business are met

;

Take responsibility for managing and advising on any changes necessary on the Group structure, New Company set up, Company Secretarial responsibilities, Shareholder Agreements, and Growth Share schemes;
You may have experience of investment services and MiFID and as we have European operations, you may also have experience in Italian or Spanish law or Canadian law/compliance, however this is not essential.

This is an impactful role in which you have the opportunity to work directly with the senior management of the business and control functions, as well as attending committees on your own and contributing to internal policies.

Person Specification

Must have:

Legal qualification
In the region of around 7+ years financial services compliance experience, in a management or senior role.
Knowledge of MIFID 2, including client classification for professional clients, best execution, client disclosures, remuneration policies and ongoing training requirements for MIFID staff.
Understanding of the SMCR rules and implementation of suitability and background checks
Experience with FCA reporting for PSD and MiFID firms.
A good knowledge of data protection and GDPR rules
Be comfortable in a fastpaced environment, where nonroutine and/or complex issues are common
Demonstrate strong moral and ethical principles