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Head of Compliance

  • Location: London, Kent
  • Salary: £70,000 - £90,000 + Bonus + Package
  • Job type: Permanent
  • Job reference: 171091
  • Sector: Compliance
Job Description

You will be responsible for the management of the compliance framework as well as managing a small team.

The main responsibilities for this role include:

  • Oversight of MiFID II and MAR Compliance
  • Liaising with external stakeholders (FCA, Vendors, Partners)
  • Hold the SMF16/17 and sitting on the Risk Committee
  • Regulatory horizon scanning
  • Board reporting
  • Conduct Risk assessments and management of the compliance M&T programme

 

Requirements

Key requirements for this commodities and interest rates focused brokerage include:

  • A thorough knowledge and understanding of MiFiD II, Market Abuse Regulation (MAR) and Senior Manager Certification Regime (SMCR).
  • Experience of engaging with senior stakeholders and the board
  • Extensive experience of Commodities and Interest Rate products.
  • Experience of working externally with the FCA

This is a fantastic opportunity for an individual to take ownership of a compliance function and programme and establish a best-in-industry framework.

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