HEAD OF COMPLIANCE-Stockbroking

Job Title: HEAD OF COMPLIANCE-Stock-broking

Reference: AJB JB IB 53

Location: London

Assignment Profile:
Our client is a highly regarded financial services institution whose business includes stock broking and wealth management. They are seeking an experienced compliance professional to act as Head of Compliance (not CF10 or CF11) reporting to the Group Compliance Director  

The main purpose of the role  

To organise and oversee the performance of compliance monitoring and control room type activities across the company

Duties and responsibilities will include the following;  

To organise, oversee and report on the performance of compliance monitoring (including risk-based monitoring, and market abuse monitoring)

To organise, oversee and report on Control Room type activities, including: Regulatory (Panel and FSA) disclosures Insider lists Conflict check requests Regulatory correspondence

Review and communication of regulatory communications and events (eg FSA Consultation papers) FSA registrations & de-registration PA dealing inquiries Monthly management information (reviewed by Board)

Candidate Profile:
The successful candidate will be a graduate and hold additional industry qualifications and have at least 5 years experience within a Stock-broking or Wealth Management environment Management ability is required as you will be managing a small team as are excellent communication skills You must be able to work confidently across the business and with external parties Must be able to work to deadlines and be well organised and maintain goods time management        

Also required

Proven experience of audit/assurance/monitoring.

Proven experience of guiding and managing audit/assurance/monitoring teams/individuals

Proven experience of managing staff and work-flows Proven experience of drafting and reviewing reports to be read by Senior Management and external third parties. Proven experience of liaison with Heads of Business and Senior Management. Good working knowledge of following areas of FSA Handbook: SYSC, SUP, COBS, APER, FIT and DTR’s

Good working knowledge of JMLSG Guidance Notes and other relevant Financial Crime legislation, rules and guidance  

Consultant: Jonathan Banjo

Consultant Email: jbanjo@ajbexecutivesearch.co.uk

Salary: Circa £90-100,000 Plus Benefits

If you feel you are a suitable candidate for this position please contact Jonathan Banjo.