Head of Legal and Compliance

Avenell Search Ltd ,
London, Greater London
More Details
Salary: From £130,000 to £150,000 per annum

Overview

Based in the City, my client is an award winning Trading platform who provide services to retail and institutional clients. Along with the help of a small team, the Head of Legal and Compliance will support the CEO and Board a dvising on complex legal issues and ensure an effective compliance framework is in place. Main duties and responsibilities: Review and update the regulatory compliance framework, including the Firm’s Manuals, Policies and Procedures, in response to changes internally and externally Reviewing and implementing a risk framework, recovery plan, ICAAP, and Pillar 3 disclosures and risk register. Prepare the appropriate reports for the Board demonstrating the effectiveness of the regulatory compliance framework. Ensure that senior management are kept fully informed of all regulatory matters and also that any such developments are included within the compliance and risk framework. Advise the firm in relation to complex legal questions and issues. Oversee the review and development of existing products and services. Draft agreements, policies and procedures, disclosures, account documentation and website materials Research securities and brokerage questions and provide legal analysis and recommendations Manage the Legal and Compliance team The ideal candidate will possess the following: 7 years’ PQE experience gained within private practice / Financial Services, retail brokerage experience is a plus but not a necessity Good understanding of FCA Regulation, particularly COBS and CASS, and associated legislation, such as MiFID II Experience of dealing with regulators and other external bodies Experience in reviewing and drafting commercial contracts Commercially minded Strong analytical skills and an ability to demonstrate sound legal and business judgment, even in ambiguous situations Excellent organisational skills, and an ability to manage multiple projects at once, to meet deadlines This job was originally posted as www.totaljobs.com/job/89917512

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