Deputy Head of Compliance
CLARC Recruitment
London, United Kingdom
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Posted: 2 days ago
Type: In-Office Job
Contract: Permanent
Salary: GBP90000 - GBP110000 per annum
We are recruiting for a growing Institutional Brokerage firm looking to hire a Deputy Head of Compliance to assist with the day-to-day running of a busy compliance function. This role will be based in the office 5 days a week, and there is a development/succession plan in place to take over running the team in the future.
Main Responsibilities:
1. Trade monitoring to support compliance with the firm's regulatory monitoring requirements
2. Assist with the implementation of the new communications monitoring system
3. Regulatory horizon scanning for changes that impact the business, including both Regulatory & Exchange enquiries
4. Updating regulatory policies and procedures when necessary
5. Assisting with the implementation of the firm's training plan
6. Conducting regulatory certification/registration processes in compliance with UK (SM&CR) and US requirements
Job Requirements:
1. At least 5 years compliance experience in Financial Services, preferably from within a similar institutional brokerage environment
2. A working knowledge/understanding of commodity derivative products
3. An understanding of Block Trading
4. Knowledge of ICE and CME rules are advantageous
Unless otherwise stated, candidates must have the right to work in the UK.
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