Job Description
Head of Compliance
Brokerage
£140K-£150K
London (City)
The role:
* Manage the Compliance team actively to support the development of a positive Compliance culture within the firm
* Identify, recommend and implement areas for improvement and business process developments where appropriate.
* Responsibility for Control Effectiveness testing and submission of written reports / Management Information
* Horizon scanning of new regulatory developments and recommending changes required.
* Supervision of the Onboarding Team
* Supervision of the Market Surveillance activity
* Responsible for ensuring that the Training & Competency program is carried out as stipulated
* Identifying gaps in compliance and recommending adjustments to policies, procedures and controls
* Ensuring HR procedures are correctly supervised and adhered to
* To liaise with Heads of Departments to maintain 2nd line defense
The requirements
- Previously held SMF16/17 role within a brokerage firm