Head of Legal & Compliance

England, London, City of London
£120000 - £150000 per annum
23 Mar 2023
20 Apr 2023
Darren Ruskin
Contract Type
Full Time

A well established Corporate Finance and Corporate Broking company are looking to recruit a Head of Legal and Compliance to help ensure that their operations comply with all government and market regulations and industry-specific requirements..

Main Responsibilities

  • Conducting financial crime and regulatory compliance monitoring in accordance with the firm's Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP);
  • Conducting surveillance activities to detect market abuse;
  • Acting as Gatekeeper for internal and external wall crossings and maintaining the firm's insider list;
  • Review and Update policy and Procedures;
  • Providing expertise and support to KYC and on-boarding processes;
  • Responding to ad hoc queries from the business on compliance related matters;
  • Advising on regulatory changes and development;
  • Responding to regulatory enquiries;
  • Perform Central compliance tasks e. approve PA dealing, maintain Breaches Register

Job Requirements:

  • University degree in Law, Business Administration, or a related field (post-graduate education with a focus on compliance and risk management is preferred)
  • 10+ years of experience in a senior compliance management role
  • Experience working in a broking, financial advisory or law firm will be considered a big advantage for this role
  • Superior knowledge of industry regulations and corporate procedures for maintaining compliance

The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.