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Head of Compliance

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £150,000

  • Contact:

    Jonathan Skerrett

  • Contact email:

    jonathan@rutherfordsearch.com

  • Contact phone:

    0207 870 1019

  • Job ref:

    SKJ11280_2

  • Published:

    26 days ago

  • Expiry date:

    2021-09-26

​Our Client

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.

Main Duties

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

Your Profile

  • 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.
Email: jonathan@rutherfordsearch.com
Phone: 0207 870 1019
Reference Code: 11280

About Rutherford

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.