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    Regulatory affairs senior - London, United Kingdom - Martis Search

    Martis Search
    Martis Search London, United Kingdom

    1 week ago

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    Description
    Head of Compliance – West End based Brokerage

    Martis Search are representing a West End based, FCA regulated, privately owned FX Brokerage to hire a "Head of Compliance.

    "

    The role reports into their Chief Compliance Officer and will manage a small team of Compliance Analysts.

    The company are a global FX trading institution, trading Spot/ Forward FX, FX Options, as well as bespoke FX Structured Products on behalf of behalf of global Corporate Institutional clients that need FX solutions.

    The company have an amazing working culture, invest a lot of money into technology and automation.

    Our client is looking for someone who has a strong all round "Generalist Compliance" experience, but with particular leaning towards "Regulatory Compliance", so for example all Regulatory experience working in a MiFID firm and Payment Institution – as per FCA Handbook and relevant regulations (i.e.

    The role will also be responsible for Compliance Monitoring and also some Legal type work (how to interpret rules and regulations).

    Having broader experience with Legal is a nice to have, but not essential. Our client is looking for someone with 5-years' experience as a senior Compliance Manager and a good understanding of stakeholder management (i.e. who are the stakeholders?).

    The company offer amazing benefits, such as gym membership for Mayfair based gyms, a good bonus package, as well as loads of social events, which ensure you will enjoy working there and build last friendships and memories whilst working for them.

    This role is predominantly office based with the ability to work from home upon discussion with the line manager.

    During the probation period (3 months), you will be required to work full time from the office.

    As the Head of Compliance, you will be responsible for:

    Day to day management of the Regulatory Compliance team
    Acting as the first point of contact for the business and Executive team for any legal regulatory compliance advice
    Legal & Compliance Horizon monitoring
    Working with the firms front office sales and dealing teams to provide oversight of their activities
    Vendor Due Diligence and monitoring all contractual NDAs, T&Cs etc across the business
    Assisting the CLCO in preparing quarterly management information for the Audit and Risk Committee
    Designing and conducting compliance commonitoring program
    Working with the Compliance team to provide guidance, advice and training to the firm's staff in relation to Compliance matters
    Maintaining compliance policies, procedures, and other central compliance duties, including SMCR
    Ensuring all Regulatory Reporting & Fillings are completed within the deadline.

    5+ years core compliance experience in an investment firm or other financial services sector, in a management 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
    ~ A good knowledge of data protection and GDPR rules
    ~ Experience in making judgments from applying policies and processes to non-routine scenarios with imperfect information
    ~ 120 k pa - £140 k pa plus bonus, Mayfair Gym Membership, Medical Healthcare, discounted Food Deliveries.
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