Head of Compliance - Trading/Broking | London, UK | Hybrid

MERJE Ltd; London; On-site; GBP 80,000 - 120,000; Full time

Job summary

MERJE Ltd recherche un UK Head of Compliance pour une entreprise de trading établie à Londres. Le candidat idéal possède une expérience en tant que SMF16/17 et excelle dans un environnement commercial dynamique, avec des responsabilités incluant le conseil réglementaire et la gestion des audits. Ce poste offre l'opportunité de travailler avec des organismes réglementaires internationaux et de maintenir une conformité optimale aux lois en vigueur.

Qualifications

• Expérience en tant que SMF16/17 dans un environnement de trading.
• Compétences en communication et en gestion des parties prenantes indispensables.
• Capacité à travailler de manière autonome tout en étant orienté vers l'équipe.

Responsibilities

• Conseil technique et guidance réglementaire.
• Gestion des audits et des rapports à la FCA.
• Mise à jour des politiques de conformité et des manuels.

Skills

Interpersonal skills

Relationship building

Team-oriented

Strong communication

Stakeholder management

Job description

MERJE is partnering with an established trading/broking firm in their search for a UK Head of Compliance. This is a fantastic opportunity for someone who enjoys working in a fast-paced, commercial environment and has a proven track record of operating as an SMF16 within a similar business.

Key Responsibilities

• Provision of technical advice, support & regulatory guidance
• Liaise with FCA and other international regulatory bodies, managing audits, reporting, and regulatory submissions
• Maintain and update compliance policies, manuals, conflicts registers, and ensure alignment with changing laws and regulations
• Development & completion of the annual compliance monitoring programme
• Review and sign off of financial promotions
• Review and implementation of compliance policies & procedures
• Completion of due diligence requests
• Completion of ad hoc investigations, reviews and regulator requests for information

Background/Experience

• Operated as an SMF16/17 in a trading or broking environment
• Good interpersonal and relationship building skills including the ability to interact with and influence at all levels of an organization
• Team-oriented and collaborative, with the ability to work independently
• Strong communication and stakeholder management skills

Applicants must be located and eligible to work in the UK without sponsorship.

MERJE is a widely trusted specialist talent solutions provider. Since 2011, we’ve been pairing the best candidates with the most suitable career opportunities.

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