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Head of Markets Compliance - London, United Kingdom,


Head of Markets Compliance

A very prestigious boutique investment bank is looking for a head of markets compliance, they are looking for someone who can be the day to day compliance point of contact for the business. This individual work very closely with the head of compliance and liaise closely with the wider compliance team. This will be a fast paced role looking at complex deals as well as dealing overseeing day to day sales and trading activities.

Brief Summary of Job

Compliance advisory role with responsibility for Firms' activities in equities markets. The role-holder will cover our Sales/Sales Trading and Trading desks.

Summary of Main Tasks and Responsibilities

  • To support the Head of Compliance in ensuring that the function maintains appropriate systems, policies, processes and controls to enable it to operate efficiently and effectively, in a manner designed to support and protect the Group
  • To produce appropriate management information (including reports) to assist the Head of Compliance in their responsibility to appropriately manage the Department and provide information onward to the Board & Senior Management
  • To identify and where appropriate address, resolve and escalate issues
  • Provide regulatory advice and support to the Head of Sales, Head of Sales Trading & Head of Trading and their respective desks
  • Conduct and participate in the training and competency regime requirements through the provision of training to staff. This requirement specifically includes the on-going enhancement and oversight of the Compliance training programme for Sales/Sales Trading/Trading.
  • To manage and conduct projects on behalf of the Department
  • Where necessary, work with Compliance colleagues on Suspicious Transaction and Order Report ('STORs') reports to the relevant authorities

Required Knowledge and Experience

  • Strong knowledge of FSA, London Stock Exchange ('LSE') and other exchange/Multilateral Trading Facilities ('MTF') rules, regulations and requirements relevant to the role.
  • Strong knowledge of regulatory trade and transaction reporting requirements.
  • Working knowledge of other applicable laws and regulations relevant to the wider Compliance department