Regulatory Affairs
4 weeks ago
Robert Half is recruiting for a Head of Compliance (SMF16) for a brokerage firm.
ROLE: Head of Compliance (SMF16)
LENGTH: 6 Months to go perm
SME for all applicable local Regulatory frameworks, including, CASS, SYSC and SMCR
Responsibility for annual review and update of all Compliance and AML policies and procedures including annual Market Abuse Risk Assessment
Oversight of Compliance and AML staff training, including “in person” Market Abuse training
Compliance responsibility as part of a wider team for input and calibration of documents
Maintaining Conflict of Interest Register and handling complaint procedures
Oversight and Chairmanship of relevant internal local Committees where appropriate, such as Market Standards Committee
Oversight of London trade and communication surveillance and calibration of monitoring systems
Manage and provide solution for financial crime and AML matters in accordance with the ToR for Compliance.
Maintain the Compliance Monitoring Program as per the approved Compliance Procedures Manual.
Perform duties in relation to Personal Account Dealing, as set out in the Firm’s Personal Account Dealing Rules
Have in-depth understanding of FCA Consultation Documents, Policy Notices, and other publications.
Ensure Firm’s compliance with FCA’s rules including timely submission of regulatory returns, if any.
All other ad-hoc Compliance duties/projects as and when assigned
ASAP Start Date
6 Months Fixed Term Contract
£If this is of interest, please apply and I'll be in touch asap.
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