Our client, a global financial group, is currently looking for a Head of Compliance to join its London office. The firm offers a wide range of custom services to its renowned clients, spanning across banking, investment management and securities.
The successful candidate will initially report into the General Counsel, which currently oversees the firm's Compliance and Legal functions. The appointee will be asked to hold both SMF16 and SMF17 positions in due course and chair the Compliance Committee.
The Head of Compliance will ensure the effective control and compliance with all regulatory matters in relation to the firm. The successful appointee will have three direct reports.
Responsibilities will include, but are not limited to:
Manage the relationship and dialogue with the FCA and other regulatory bodies, ensuring it is always constructive and open
Spearhead the review and update of the compliance framework
Draft reports for the Board in relation to the compliance framework's effectiveness
Regularly keep the General Counsel and senior management informed on latest regulatory changes and their impact on the business
Spearhead the review and development of existing products and services
Lead the Compliance team and provide oversight as well as support to the firm's back office team
10+ years of experience in Compliance within financial services, ideally for a wholesale brokerage firm
Sound understanding of FCA Regulation
Strong knowledge of UK and European financial services regulation
Must have held the CF10/CF11 or SMF16/SMF17 functions
A commercial mindset
A strong track record in dealing with regulators and other external bodies
Salary: circa £150,000 depending on experience
For more information about this position, please get in touch with Jonathan Skerrett.
Phone: 0207 870 1019
Reference code: SKJ11280
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.