Head of Risk & Compliance, Capital Markets

Head of Risk & Compliance, Capital Markets
Recruiter
MRG Professional Services
Location
Remote / London (UK)
Salary
Up to £130K base salary, share options, annual bonus, 30+ days vacation, pension and medical
Closing date
24 May 2024
Reference
AMHOC
One of the most exciting fintech firms in the global financial services industry is looking for a Head of Compliance in their flagship London office. They are looking for a highly experienced, commercially driven Compliance professional who can truly build out their compliance function, and foster a culture of compliance and good governance with the firm.The firm has just been a huge success story and continues to go from strength to strength, so there Is huge opportunity for professional growth in this role. As the business grows it is important the compliance function scales up with the business and this role will evolve over time as well.The successful candidate will act as SMF 16/17 for the firm and lead relationships with the FCA.Your responsibilitiesDevelop the risk & compliance function and lead the company’s regulatory strategy Embed an effective risk management framework to support sustainable growthAct as a strategic advisor to the Executive and Senior Management on all things complianceDevelop, manage and implement policies and procedures for regulatory complianceEnsure new products are developed with a complete understanding of the regulatory implicationsEnsure adherence to regulatory requirements and reporting obligations and advise the business across all regulatory and compliance mattersMonitor new legislation, guidance, consultations and cases that impact financial regulationPromote a sustainable culture of risk awareness in the businessWhat they’re looking for?Experience working in and deep understanding of Capital MarketsDemonstrable experience within a regulatory environment including a sound understanding of the FCA’s Senior Managers and Certification RegimeDetailed up to date knowledge and understanding of financial regulations and challenges that impact and affect the capital markets industryExperience of practical application of relevant financial regulatory frameworks including but not limited to the FCA Handbook (COBS and CASS), MIFID II, Financial Crime legislation and regulations for ICAAP/ICARA.Demonstrable experience in building and overseeing an operational risk frameworkExcellent verbal and written communication skills with the ability to confidently engage with and influence a variety of stakeholders at differing levels across the businessPlease note that the role does not offer a work permit and only those with UK work rights can be considered.What can they offer you?Remote working - the role can be 100% home based though there will be the requirement to attend in person meetings at their London HeadquartersApply for Head of Risk & Compliance, Capital MarketsFields marked with an asterisk (*) are required
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