Description:
MERJE are partnering with an established trading/broking firm in their search for a UK Head of Compliance. This is a fantastic opportunity for someone who enjoys working in a fast-paced, commercial environment and has a proven track record of operating as an SMF16 within a similar business.
Key Responsibilities
- Provision of technical advice, support & regulatory guidance
- Liaise with FCA and other international regulatory bodies, managing audits, reporting, and regulatory submissions
- Maintain and update compliance policies, manuals, conflicts registers, and ensure alignment with changing laws and regulations
- Development & completion of the annual compliance monitoring programme
- Review and sign off of financial promotions
- Review and implementation of compliance policies & procedures
- Completion of due diligence requests
- Completion of ad hoc investigations, reviews and regulator requests for information
Background/Experience
- Operated as an SMF16/17 in a trading or broking environment
- Good interpersonal and relationship building skills including the ability to interact with and influence at all levels of an organization
- Team-oriented and collaborative, with the ability to work independently
- Strong communication and stakeholder management skills