Head of Compliance - London, United Kingdom - Compliance Professionals

Compliance Professionals

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

THE COMPANY:

Our client is a successful futures and options broker based in the City, with years of experience delivering expert and high quality services.

THE RESPONSIBILITIES:

Ensure that the Firm complies with its regulatory requirements as a UK regulated business;
Conduct periodic internal reviews and investigations, including trade monitoring processes, across different operation activities to ensure that business is being conducted in accordance with the relevant regulations, as well as company's policies;
Maintain and enhance the existing compliance management system, including but not limited to all relevant management structures and business procedures and manuals (including the Firm's Compliance Handbook for all the firm's activities);
Ensure that the Compliance Manager stays up to date with the latest relevant and applicable regulatory developments and liaise with relevant authorities / advisers (where necessary) to assess the implication to company's business development and advise the company management accordingly;
Develop and enhance the company's compliance culture as well as organizing compliance education and training on regulatory developments, AML and KYC etc;
Communicate with and provide required reports to relevant functional departments of the parent company in a timely manner;
Assist the Board of Directors, and Board subcommittees, and company management to ensure there is adequate and effective Chinese Walls, and Conflict of Interest Management mechanisms
Handle and work with external counsel / advisers, if necessary, on all compliance related matters including complaints, arbitrations and litigations;
Evaluate and assess the compliance management effectiveness and the employee practice behaviour of any subsidiary company.

EXPERIENCE REQUIRED:

Head of Compliance/SM16/17 experience ideally from a Brokerage/LME/Commodities Brokerage background
An understanding of the London Metal Exchange, as well as related experience in investment banking and asset management will be a plus;
Familiar with the legal and regulatory framework in commodities and related derivative trading, as well as asset management;
Familiar with compliance management tools, methods, processes and systems, used in UK regulated firms;
Strong leadership and communication skills, be able to work under pressure and to meet external and internal deadlines:

For further information please contact Hannah Tabatabai