Head of Legal & Compliance

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

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