Head of Compliance

£150000 - £180000 per annum
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PLEASE CONTACT

DUNCAN JEFFERY


Have and maintain strong knowledge of regulations across the broad product spectrum of the business

Good knowledge of MiFID II, including the venue regime

Advise on the strategic / commercial / operational and risk aspects of regulation

Identify opportunities and threats to the business and help frame solutions

Lead/manage the department and the team

Ensure the team is structured in the best way to meet the demands of the function and the needs of the business

Delegate and ensure the right work is at the right level, and that team members are developed

To develop and manage the CMP, in a manner designed to support and protect the business

Maintain the personal and professional competency requirements of all the Firm’s staff, in accordance with FCA rules

Be a member of the Executive Committee and to be a standing invitee to the Audit and Remuneration Committees, and any other committees as required; and to produce appropriate management information to assist these committees and the Board

Interact with other departments (e.g. Operations/IT/Risk/Legal) and provide Compliance insight and work proactively on projects and developing solutions

Maintain a positive and proactive relationship with the FCA

Develop and embed knowledge of the Senior Managers Regime

Identify key external advisors and know when best to use them

Input to trade associations to help secure positive outcomes for the business

Maintain relationships with peers

Participate in industry forums, demonstrate knowledge, thereby building the brand and credibility of the firm

McGregor Boyall is an equal opportunity employer and do not discriminate based on race, religion, gender, age, sexuality, gender identification, or physical ability.
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