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Head of Compliance

Full Time
Greater London
13-03-2023 02:41 PM


The successful candidate will (i) assist the management to ensure that the overall activities of the UK office comply with all the relevant and applicable laws, regulations and regulatory rules; (ii) operate and enforce the company’s internal compliance policies and procedures; iii) facilitate the company’s growth strategy and expansion plans on new products

The responsibilities associated with this role are expected to include but not limited to:

  • Provide compliance advisory services to management, business and functional units in relation to the UK regulatory regime.
  • Construct, review and maintain compliance policies, procedures and processes to ensure that the systems and controls framework is adequate and up-to-date.
  • Conduct compliance reviews, perform compliance monitoring and surveillance to ensure that policies, procedures and practices are being followed and adhered to.
  • Monitor business activities and put in place specific measures as necessary.
  • Monitor regulatory developments relevant and applicable to the company and provide impact analysis, work on projects to implement any changes that may be required.
  • Ensure that the AML systems and controls meet regulatory requirements and are complied with.
  • Oversee compliance operations of client due diligence and KYC processes and procedures as required.
  • Prepare internal reports and management information, assist on filing regulatory reports.
  • Assist in maintaining and developing the manuals and internal staff training.
  • Co-ordination of Risk documentation and ownership of the ICARA process
  • Good knowledge of FCA handbook, especially COBS, CASS, MAR and SYSC


  • Minimum 5 years of relevant UK compliance experience  within a securities company or investment trading platform.
  • Experience and good understanding of the local regulatory regime - with implementation preferred.
  • Comprehensive understanding of the regulatory rules applicable to FCA regulated activities.

Skills and Abilities

  • A self-starter with keen initiative and excellent interpersonal skills
  • A professional with high integrity
  • Able to work with a minimum level of supervision
  • Strong analytical and evaluative skills, attentive to details
  • Good communication skill and a good team player
  • Good understanding of UK and global regulatory issues and developments
  • Dynamic and proactive; prepared to ‘do’ rather than ‘oversee’.


  • University degree in law, economics, business or accounting or finance disciplines.

The expectation is the the succesful candidate will assume the SM16/17 in due course although this may not previously have been undertaken by the candidate 

Fergus Hooley


07425 325267