Head of Compliance Management

  • Competitive
  • London, England, United Kingdom London England GB
  • Contract, Full time
  • IBAM Consulting
  • 16 Apr 18 2018-04-16

This expanding London based brokerage/ asset manager is looking for a head of Compliance (CF10/CF11) to head up the Compliance team in the London office.The role entails oversight of all compliance functions relating to both Retail and Institutional brokerage including Client Money, Money Laundering, KYC, Business Advisory and Surveillance. The firm is a growing brokerage covering institutional investors and professional clients, with offices in London and overseas. It offers access to 100+ exchanges around the world to a diverse mix of HNWIs, Algo Traders, Institutional Investors and Corporates across currencies, stocks, bonds, derivatives and cash and securities borrow & lending.

Responsibilities

  • Oversee implementing and monitoring trading related compliance policies, procedures and internal controls
  • Maintain up-to-date client on boarding data.
  • Act as principal point of contact for regulatory audits and inquiries, building and maintaining a close relationship with the FCA.
  • Provide compliance training, including periodic seminars
  • Provide control and oversight for the Firm’s Transaction Reporting responsibilities
  • Serve as the internal subject matter specialist to address day-to-day compliance questions regarding regulatory impact on trades, trading strategies, the application of technology to trading methodologies, and back-office operations
  • Monitor and report on the effectiveness of policies and procedures and recommend and implement changes where appropriate
  • Support the businesses through advice and interpretations regarding existing and new business initiatives.
  • Conduct Market Abuse and Best Execution surveillance
  • Oversee client KYC, AML and on-boarding, sanctions oversight and management
  • Advise on compliance aspects of ICAAP and ILAA
  • Interact on a regular basis with relevant regulators
  • Ensure all aspects of Client Money regulation are being adhered to
  • Conduct comprehensive compliance reviews and risk assessments of business activities, practices and controls; identify and mitigate potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, provide guidance to business leaders and compliance staff on how to avoid or deal with similar situations in the future.