Exclusive – Deputy Head of Compliance

We are exclusively recruiting for growing Institutional Brokerage firm looking to hire a Deputy Head of Compliance to assist with the day to day running of a busy compliance function. This role will be based in the office 5 days a week and there is a development/succession plan in place to take over running the team in the future.

Main Responsibilities

Trade monitoring to support compliance with the firm’s regulatory monitoring requirements
Assist with the implementation of the new communications monitoring system
Regulatory horizon scanning for changes that impact the business, including both Regulatory & Exchange enquires
Updating regulatory policies and procedures when necessary
Assisting with the implementation of the firm’s training plan
Conducting regulatory certification / registration processes in compliance with UK (SM&CR) and US requirements

Job Requirements:

At least 5 years compliance experience in Financial Services, preferably from within a similar institutional brokerage environment
A working knowledge/understanding of commodity derivative products
An understanding of Block Trading
Knowledge of ICE and CME rules are advantageous

Unless otherwise stated, candidates must have the right to work in the UK.

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

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