Head of Compliance

Britannia Financial Group Limited; London; On-site; GBP 90,000 - 130,000; Full time

Job summary

A leading financial services firm is seeking a Head of Compliance to oversee regulatory compliance and support senior management. This role demands extensive experience in financial regulations and a proactive approach to stakeholder engagement within the financial sector. The position is based full-time in central London, offering a competitive salary reflective of the expertise required.

Qualifications

• 10+ years’ experience in Financial Services, particularly in wholesale brokerage.
• Thorough understanding of UK and European FS regulation.
• Previous holder of CF10 and/or SMF 16.

Responsibilities

• Establish and maintain dialogue with regulatory authorities.
• Review and update compliance framework.
• Prepare reports on compliance effectiveness.

Skills

Understanding of FCA Regulation

Knowledge of FS regulation

Stakeholder engagement

Commercially minded

Job description

Head of Compliance (BGI)

Application Deadline 27th June at 12:00

Britannia Global Investments, one of the companies in the Britannia Financial Group, is looking for a Head of Compliance. The candidate will be based full time in our head office in the City of London (EC3) and will be reporting to the Chief Executive Officer.

The Head of Compliance will be tasked with supporting the senior management to ensure an effective control and compliance with all regulatory aspects relating to Britannia’s business. The candidate will be expected to, in due course, hold both SMF 16.

The main duties and responsibilities of the position include, but are not limited to, the following:

• Establish and maintain a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports, including RegData returns, or enquiries are handled appropriately and promptly.
• Review and update the regulatory compliance framework, including the company’s Manuals, Policies and Procedures, in response to changes internally and externally.
• Prepare the appropriate reports for the Board demonstrating the effectiveness of the regulatory compliance framework.
• Ensure that the General Counsel and the senior management are kept fully informed of all regulatory matters and also that any such developments are included within the compliance and risk framework.
• Provide guidance and advice on regulatory matters across the business.
• Oversee the review and development of existing products and services.
• Work across the company business lines engaging with a degree of pragmatic collaboration to find compliant solutions to business problems.
• Develop and maintain effective relationships with various stakeholders across the business.
• Manage the Compliance team and provide oversight and support to the Back Office team

Experience/Skills required

• 10+ years’ similar experience gained within Financial Services, within wholesale brokerage and with particular experience of various of the company’s products.
• Excellent understanding of FCA Regulation, particularly COBS and CASS, and associated legislation, such as FSMA and MiFID II.
• Thorough knowledge of UK and European FS regulation.
• Previous holder of CF10 and/or SMF 16.
• Extensive experience of dealing with regulators and other external bodies.
• Commercially minded.