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Head of Compliance (CF10 and CF11), Trading

JO0000045765_1574098104

Head of Compliance (CF10 and CF11), Trading

JOB DETAILS

An established, growing financial services business within the heart of the City is looking to recruit a Head of Compliance on a permanent basis.


The individual will need to have 5 years experience of working in a similar role, as well as being experienced with OMS' systems such as Bloomberg Vault, Iress and Real Tick along with Compliance focussed packages such as WorldCheck, salesforce and phone monitoring systems. The individual will also be expected to act as the firm's MLRO.

It is imperative that the individual has been exposed to international markets previously and has dealt with both domestic and overseas clients across a multitude of asset classes.

My client is looking for the right candidate to implement and manage all compliance activities within the business. This would include but is not limited to developing and implementing compliance policies, advising senior management, oversight of onboarding processes, best execution and market abuse monitoring.

Reporting directly to the board, you will be the focal point of all compliance areas of the business.

Please quote <45765> when calling Louis at Alexander Lloyd or email them at lra@alexanderlloyd.co.uk. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Compliance & Risk recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.

 

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