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Deputy Head of Compliance

  • Location:


  • Sector:

    Risk & Compliance

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  • Salary:


  • Contact:

    Lisa Spink

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  • Published:

    12 Tage her

  • Expiry date:


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Deputy Head of Compliance - London - Trading/ Brokerage - £85K - Flexible working on offer.

Oliver James have partnered with a leading Trading and Brokerage company based in London. Reporting into the Head of Compliance my client is looking for a Deputy to assist them. You will be part of shaping and restructuring the team. To apply for this role you must have experience working in an Investment/ Brokerage company and previously worked at a Deputy level.

Your duties as a Deputy Head of Compliance will be:

  • Monitoring and interpreting regulatory developments and advising on business impact and necessary process changes;
  • Deputising to the MLRO with all relevant matters
  • Researching current regulations and legislations in relation to compliance;
  • Assisting with review and investigation of internal SARs and STORs;
  • Assisting with and analysing ongoing Compliance Monitoring Program
  • Assisting with any regulatory matters, including, AML/CDD, MAR, MiFID II, SMCR, PRIIPs;
  • Assisting with the design and implementation of the compliance monitoring programme
  • Development and the on-going maintenance of policies and procedures to ensure the firm remains compliant with regulations;
  • Reviewing marketing materials, presentations and websites to ensure compliance with regulatory requirements and updating the business where necessary.
  • Keeping up to date with and understanding, relevant laws and regulations, ensuring ongoing compliance with laws, regulations and internal policies.

The ideal Deputy Head of Compliance will possess:

  • At least 7 years' experience working in a Senior Compliance and Financial Crime prevention role in an FCA regulated firm
  • Excellent technical compliance skills in the areas of COBS,MAR, MIFID II, DISP, CASS, SYSC and PERG.
  • Significant knowledge of FCA industry standards and regulations
  • Significant knowledge of anti-financial crime related matters - ABC, Fraud, MAR, Sanctions, AML/CTF, etc
  • Strong Compliance background, trading and brokerage experience is desirable

Please apply now for immediate consideration.

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