Head of Legal and Compliance – CF10 & CF11 Approved – Up to £90k

Head of Legal and Compliance – CF10 & CF11 Approved – Up to £90k

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Head of Legal and Compliance – CF10 & CF11 Approved – Up to £90k (CBHOC-01)

  • Posted 2 years ago
  • £70,000 - £100,000
  • London
  • Head of Compliance
  • Closing Date April 12, 2019

Head of Compliance (CF10/CF11) – The City – Up to £90,000 + discretionary bonus


Elliott James Consulting are currently recruiting for an exciting position with a great opportunity to grow with an ambitious company. We are looking for a Head of Compliance (CF10/CF11) to manage a team of 1.


The role will hold generalist Senior Compliance responsibilities within an innovative business model focussing on blockchain technology.


The successful candidate will be expected to assist and lead in areas of Regulatory Compliance, including compliance monitoring, assisting with legal contracts review and advise on regulatory aspects of the products being launched, for example advisory, execution, AML/KYC, custody etc. You will also play a key role in the implementation and ensuring compliance with MiFID II and GDPR regulations.


The duties of the role will entail:

  • Funds/Markets/Asset classes knowledge (essential) from a retail or wholesale firm
  • Responsible for all Compliance matters
  • Keeping abreast with all relevant legislation, MiFID II, GDPR, SM&CR and any other legislation that impacts the firm
  • Manage a team of 1 compliance analyst (at present) and day to day issues as they arise and cover staff duties as and when required
  • Responsible for executing the Compliance Program of the firm
  • Responsible for overseeing the firm’s monitoring program
  • Reporting to the Board in relation to all reports required, applications submitted to the regulator as and when required (Gabriel, SYSC internal reports and MLRO reports) – annual and can even be biannual if requested
  • Responsible for FCA visits (impromptu or thematic, guidance, consultations etc) and market data audits by my client’s platform providers
  • Responsible for drafting, reviewing, testing and updating of all compliance documents, procedures and policies
  • Responsible for drafting, reviewing and executing a range of company and general documents and agreements, liaise with external lawyers as and when required
  • Responsible for all compliance training, induction and addition of training such as whistleblowing procedures, informing staff of who the CF11/MLRO, whistleblowing contact is etc


The successful candidate will:

  • Be up to date with all current regulations
  • Hold a law degree
  • Have experience with blockchains (personal experience would be acceptable)
  • Recent experience of carrying out the responsibilities of CF10 & CF11
  • Have experience of working within a investment brokerage or securities house

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