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Chief Compliance Officer SMF 16 & 17 CF10/CF11

Aggregator Network
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Job Title: Chief Compliance Officer - SMF16 & 17 (CF10/CF11)Salary: to £125K plus benefitsContract type: PermanentLocation: London, UKFINCO Search is representing a London based, yet internationally focused, independent equity research provider looking to hire a Chief Compliance Officer to take overall responsibility for running compliance and financial crime controls for the firm.You will ensure that the firm complies with its statutory and regulatory obligations including those under the Senior Managers & Certification Regime (SMCR) with effective use of resources to drive cost management and support business performance.Responsibilities:

  • Maintaining and processing all necessary documentation required by the firm in accordance with FCA and SEC requirements and any other applicable regulations.
  • Review all forms of marketing material to ensure compliance with all relevant regulations.
  • Advise the firm on complicated equity market compliance matters
  • Assist the firm in its goal of publishing impactful contentious and thoughtful research, whilst respecting the associated compliance restrictions governing a regulated and litigious environment.
  • Continuously review contract negotiations with existing customers, new customers. and suppliers from a compliance viewpoint.
  • Manage any compliance issues related to growing the firm across multiple new geographic hubs.
  • Oversight (and development) of all Compliance policies, procedures and internal controls ensuring these are properly documented, regularly reviewed, and tested for understanding to mitigate risk to the firm.
  • Lead, promote and manage the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting) functions in an effective and prudent manner in accordance with company policies
  • Ensure Management is kept informed of its regulatory obligations as the responsibility of an SMCR role.
  • Ensure compliance with regulatory requirements and adherence by staff to company operational policies.
  • Understand the future regulation and compliance agenda and be able to build tactical plans around this.
  • Deal with the FCA in an open and co-operative way and disclose to the regulator appropriately anything relating to the firm which the FCA would reasonably expect to notice.
  • Present a robust case in the face of regulatory challenge, when necessary.
  • Design/procurement and delivery of compliance training programmes for appropriate staff.
    • Experience:
  • At least 5-10 years experience as a UK compliance professional.
  • Definitive experience in an equity market or related compliance role with the capacity to advise both on day to day market issues and on innovation in the space.
  • Previous or existing FCA Registration, SMF 16 & 17 (CF10/CF11).
  • Experience in dealing with FCA filings.
  • Experience and capacity to advise and train the team on all compliance related matters.
  • Relevant education and qualifications for a Senior Management role.
  • The ability to communicate effectively in a mixed professional setting and express complex ideas succinctly.
    • If you meet the above criteria, please send your CV/Cover Letter to Jonathan Margrave at or use the apply button

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