Head of Compliance (SM16/SM17)

Posted 27 October by Freedom Prime UK
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POSITION: Head of Compliance


LOCATION: City of London, London

INDUSTRY: Compliance

SALARY: £80,000 - £120,000 per annum


The Client

A fully incorporated UK subsidiary of a foreign owned broker (listed on NASDAQ) based in the City of London.

The Role

Head of Compliance for London based operation ensuring internal and external legislative requirements are adhered to.

Dual reporting lines to the UK company’s board of directors and the Global Head of Compliance.

Key Skills and attributes:

- Registered SM16/SM17 (obligatory)

- Full understanding of the UK regulatory and legislative environment

- Setting up regulatory structures and ensuring they are adhered to

- Experience of managing a small team

- 7+ years experience in compliance

- Pro-active

- Good relationship with the regulators

- Degree educated

- Strategic mindset

- Full understanding of Financial Market products and services

- Comfortable dealing with individuals across levels of responsibility

- Strong knowledge of Microsoft Office suite

Reference: 44489269

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