Director of Compliance
3 weeks ago
Compliance Director
I am partnered with a fintech company focusing on capital markets that helps financial institutions transition liquidity. They are currently looking for an experienced, hands-on Director of Compliance to join their London office
Responsibilities:
- Manage the regulatory risk profile of the business and operations, including providing pragmatic recommendations to senior business and corporate function stakeholders
- Support new product development work across all product lines (regulatory advisory and control implementation) and complete associated regulatory filings, where required
- Maintain strong and co-operative relationships with our regulators.
- reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements;
- team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations;
- the root cause of issues and develop effective remediation plans to mitigate the risks;
- implementation of local regulatory change/remediation projects and initiatives.
Requirements:
- 7+years of industry experience within institutional broker-dealer activities;
- experience with a broker is required
- experience of being an SMF16 officer (Compliance oversight) and SMF17 officer(MLRO);
- experience within the securities financing industry
- able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting.
If you believe your experience meets the criteria, please apply with a copy of your CV.
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