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Head of Compliance

  • Location: London
  • Salary: £100,000 - £160,000
  • Job type: Permanent
  • Job reference: NE168810
  • Sector: Banking , other Financial Services
Job Description

Head of Compliance Online FX Trading platform
Salary neg

My client is a specialist online provider of CFD’s and is looking to recruit a Compliance Manager / Head of Compliance, depending on prior experience, to be the face of the company to the regulators. 

They are looking for an experienced CF10/CF11 who is happy with a hands on role or a more junior compliance officer who can grow into this role over the next 6 – 12 months. This is a crucial role in the company’s growth and will report directly to the CEO. On a daily basis the role will involve:

Management of the compliance function.
Representing the company in meetings/ presentations with the FCA and other regulators
Ensuring the compliance department, and the business as a whole, is kept up to date with relevant regulatory changes and updating where necessary the company’s policies
Providing leadership and ensure the smooth operation of the day to day compliance function.
Putting in a place a robust risk-based monitoring programme 
Working with the business to come up with commercial solutions to regulatory problems
This is a very senior role in the firm and will need someone who can gain buy in from both internal and external stakeholders. This role will face off to the regulators and will take personal responsibility for the relationship with the FCA. The ideal candidate will have held CF10/CF11 control function but those able to operate at this level will be considered.

Essential skills are:

People Management.
Retail financial services experience.
Educated to at least degree level.
Good communication skills, oral and written.
Strong managerial skills.
Good influencing skills.
Commercial acumen.
Drive, initiative and resilience.
Able to balance business needs with the need to maintain a fair deal for customers.
Analysis and decision-making.

The successful candidate will be hands on, have excellent retail/online/complex products experience and be happy working in a small team.

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