Robert Half is recruiting for a Head of Compliance (SMF16) for a brokerage firm.
ROLE: Head of Compliance (SMF16)
LENGTH: Permanent Role
LOCATION: London Based
PAY: £150,000 - £170,000
Responsibilities
* 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
* Oversight of London transaction reporting
* Main point of contact for all communication with applicable Regulators including the FCA
* Monitor NASDAQ SMARTS alerts and act as final arbiter when received reports.
* Submit reports to FCA (STORs) and/or NCA (SARs).
* Monitor the Dealing Errors and Incident Reports within MKE UK employees.
* 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
* Implement changes to the Firm’s systems, controls and procedures in response to FCA rule changes, so far as they affect the Firm.
* Have in-depth understanding of FCA Consultation Documents, Policy Notices, and other publications.
* Monitor for suspicious activity from both clients and employees.
* Ensure Firm’s compliance with FCA’s rules including timely submission of regulatory returns, if any.
* Per the prescribed responsibilities under SMCR for SMF 16 and 17
* All other ad-hoc Compliance duties/projects as and when assigned
ASAP Start Date
Permanent Role
£150,000 - £170,000
If this is of interest, please apply and I'll be in touch asap.
Thanks,
Taryn