Head of Compliance

4 weeks ago

London, Greater London, United Kingdom Coopman Search and Selection | B Corp Full time
10 hours ago Be among the first 25 applicants

All the relevant skills, qualifications and experience that a successful applicant will need are listed in the following description.Get AI-powered advice on this job and more exclusive features.Direct message the job poster from Coopman Search and Selection | B CorpConsultant specialising in Regulatory Compliance & Financial Crime Recruitment | B-Corp Certified | Coopman Search & Selection We're partnering with a multi-asset Prime Broker, as they look to bring in a new Head of Compliance to the UK business.Job DescriptionThe role would lead the UK Compliance function, assuming the SMF16 responsibility and report directly to the CEO/COO. You will oversee the firm's compliance framework, identifying regulatory risks and ensuring the implementation of a robust control structure and compliance program.Key Responsibilities:Develop and maintain a compliance framework that enables a proactive culture for both the internal regulatory requirements, as well as those of the firm's clientsProvide ongoing guidance to management and employees on the applicability of regulatory requirements within the firm's activitiesConduct periodic reviews across the business and support units to assess compliance and recommend corrective actions where neededAct as the main point of contact with the FCA and other regulatory bodies, ensuring accurate regulatory permissions, filings, and staff registrations are up to dateImplement real-time monitoring systems to detect and mitigate potential compliance risks before they escalate, ensuring quick action is taken when necessaryEnsure the firm's SMCR and conduct framework remain appropriate and relevant to the firm's evolving activitiesExperience Required:10+ years experience and currently holding or have recently held the SMF16 in a Prime Brokerage/Trading environment, with exposure to institutional clientsIn-depth understanding of the FCA regulations, including SMCR and CASSAdditional knowledge of international financial regulations applicable to global financial hubs beneficialKnowledge of financial crime prevention measures and the ability to oversee their implementation within the firmProven experience in developing and managing compliance monitoring programs and reporting to senior management and regulatorsStrong ability to identify and manage conflicts of interest, as well as experience in providing ongoing training the business in regulatory requirementsYou will be joining the firm at an exciting period of growth, so you can shape the future of the firm's compliance programme. If you're interested in finding out more, please reach out to shane.cassidy@coopman.uk.Coopman Search and Selection specialises in compliance, risk, accounting, and finance recruitment. We provide tailored retained, contingent, and interim solutions to meet the unique needs of our clients and candidates. As a proud Certified B Corporation, we are committed to sustainable growth, balancing purpose and profit while prioritising positive social and environmental impacts for all stakeholders.Seniority level

DirectorEmployment type

Full-timeJob function

Other

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