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Job Specification

Head of Compliance CF10 and CF11 – Commodities and Brokerage Experience Required

£110K-£140K + Bonus & Benefits | London
Ref: 3663J2

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our Client, a leading securities trading firm, is looking to recruit a Head of Compliance & MLRO to oversee all areas of Compliance.  Reporting to the CEO duties will include;

• Carrying out the function of CF10/CF11 for the FCA;
• Providing support and advice to the business on regulatory and compliance matters in relation to FCA and global commodities exchanges particularly LME, ICE Europe, CME and SGX; acting as the first point of contact for compliance issues relating to UK regulatory obligations;
• Keeping up-to-date with on-going regulatory changes and assisting in designing and implementing suitable processes and procedures to ensure on-going compliance with these;
• Ensuring that appropriate action is taken to address any deficiencies in the Group’s compliance with its UK regulatory obligations, including raising awareness at management and Board level and making recommendations to Boards in respect of areas of weakness identified during routine monitoring or otherwise;
• Responsible for FCA applications including approved persons and variation of permissions;
• Ensuring that the business received relevant training on regulatory issues (including the application of compliance policies) which may have an impact on the business;
• Assisting the business in implementing and supporting MiFID/CASS framework, and undertaking special projects as and when required;
• Responsible for the complete and accurate collection and provision of regulatory reporting information required both on an internal and external basis;
• Ensuring that Compliance policy and procedures and updated to meet the needs of the firm’s distribution teams and when regulatory changes arise;

The ideal candidate will have previous senior compliance experience from a similar firm and be willing and able to hold CF10 & 11.

For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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