Head of Regulatory Compliance

2 months ago

London, United Kingdom Gem Partnership Ltd Full time

**Role**:Head of Regulatory Compliance

**Salary**:£110,000 - £120,000 + 15% Bonus

**Location**:London

My client rapidly is a rapidly growing financial services organisation who deliver a range of solutions to corporate clients.

The Head of Regulatory Compliance will report to the Chief Legal and Compliance Officer and act as the senior expert in Regulatory Law and Compliance within our boutique Payments and Investment firm. They will also support the global expansion of our client.

**Key Responsibilities**
- Day to day management of the Regulatory Compliance team
- Work with the UK Compliance, Risk and Audit Manager to ensure good practice in all our activities
- Acting as the first point of contact for the business and Executive team for any legal regulatory compliance advice
- Legal & Compliance Horizon monitoring, updating business processes and policies across the group - UK and Europe
- Work with the firms front office sales and dealing teams to provide oversight of their activities
- Advise/Review and Create where necessary external client/supplier contracts, partner contracts / Terms of Business with a commercial viewpoint to ensure the needs of the business are met
- Vendor Assessments and monitoring all contractual NDAs, T&Cs etc across the business
- You will have experience of investment services and MiFID and as we have European operations, you may also have experience in Italian or Spanish compliance/law, however this is not essential
- Conducting monitoring of existing clients, dealing functions and other MIFID activities
- Work with the Compliance team provide guidance, advice and training to the firms staff in relation to Compliance matters.
- Maintaining compliance policies, procedures and other central compliance duties
- Reviewing all legal documentation
- Advise/Review and Create where necessary external client/supplier contracts, partner contracts / Terms of Business with a commercial viewpoint to ensure the needs of the business are met;
- Take responsibility for managing and advising on any changes necessary on the Group structure, New Company set up, Company Secretarial responsibilities, Shareholder Agreements, and Growth Share schemes;
- You may have experience of investment services and MiFID and as we have European operations, you may also have experience in Italian or Spanish law, however this is not essential.

This is an impactful role in which you have the opportunity to work directly with the senior management of the business and control functions, as well as attending committees on your own and contributing to internal policies.

**Person Specification**

Must have:

- Legal qualification
- 7+ years financial services compliance experience, in a management or senior role.
- Knowledge of MIFID 2, including client classification for professional clients, best execution, client disclosures, remuneration policies and ongoing training requirements for MIFID staff.
- Understanding of the SMCR rules and implementation of suitability and background checks
- Experience with FCA reporting for PSD and MiFID firms.
- A good knowledge of data protection and GDPR rules
- Be comfortable in a fast-paced environment, where non-routine and/or complex issues are common
- Demonstrate strong moral and ethical principles

My client is offering a compelling package and alongside this they provide exciting career opportunities. This is a rare opportunity to have a significant impact within a fast-growing business. The role will be office-based at their London offices.

If you feel you have the qualities my client is seeking, please forward your CV indicating your current package to Graeme Parker at GEM Partnership or for a discreet conversation call our Newcastle office.
- GEM Partnership are acting as an employment agency on this vacancy_

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