Head of Compliance (CF10) - Investment

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  • Salary:

    £120,000-£140,000 basic salary plus package

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  • Published:

    over 2 years ago

The Client 

We have been engaged on an exclusive basis to recruit a Head of Compliance on behalf of an established and fast growing Financial Services firm based in London.  The company are a market leader in their field offering FCA Umbrella services to Appointed Representatives with industries ranging from VC firms, Fund Managers, Managed Accounts (trading Futures & Options) to other industry sectors.

This is an exciting opportunity to join a growing business who will offer the successful candidate an opportunity to develop their skills further within a dynamic and rewarding environment.

The Role

As Head of Compliance, you will be responsible for providing oversight of all compliance related duties. Example of duties:

  • Member of the Executive Committee
  • Developing and improving compliance controls currently in place including periodic monitoring.
  • Supervision and direction of staff deployed in compliance related role.
  • Design and implementation of assurance related work
  • Reviewing legal agreements and providing comments to in-house counsel
  • Reviewing and approving marketing materials in line with FCA rules
  • Creating, developing, implementing compliance policies and procedures.
  • Keeping abreast of and updating the business as required on regulatory changes that affects the business
  • Being a member of the Risk Committee and assisting in setting out the Firm’s risk appetite and reviewing the firms risks on a quarterly basis, providing recommendations
  • Categorising Appointed Representatives according to the company’s compliance risk appetite.

Desired Skills & Experience

This company are a collegiate and commercial business and if you are someone who can not only understand a broad range of regulation/compliance oversight, but also realise the commercial needs of their clients, you will succeed in this role.

The business requires someone who is very comfortable and enjoys working closely with senior stakeholders ranging from CEO’s, traders, MD’s of their Appointed Representatives. 

The ideal candidate will have operated as a Head of Compliance/CF10 likely within an Investment/Fund or VC business.

The company have an aggressive growth strategy and want someone to come on board and be a part of that.