SME Brokerage based in the heart of London with approximately 100 staff. The company offers online share trading and advisory share trading across the LSE AND AIM. The business has had a strong year and is looking to consolidate during the lead up to Brexit.
- Take on leadership of regulatory change programmes including supporting GDPR readiness
- Take oversight of Regulatory Compliance and hold the CF10 function
- Take oversight of Financial Crime/ AML and hold the CF11 function.
- Design and implement a Risk based Compliance Monitoring Plan
- At least 5 years experience working in Compliance in the Financial Services
- Experience working in a brokerage
- Prior experience of holding the CF10/ CF11
- Strong understanding of the Senior Manager’s regime, GDPR and MIFID II
- Excellent knowledge of the FCA Handbook