Head of Compliance (SMF16) (Brokerage / Sell Side Experience)

Robert Half is recruiting for a Head of Compliance (SMF16) for a brokerage firm.ROLE: Head of Compliance (SMF16) (must have Prime product experience)LENGTH: Temp & Perm RoleLOCATION: London BasedPAY: up to £150,000ResponsibilitiesSME for all applicable local Regulatory frameworks, including, CASS, SYSC and SMCRResponsibility for annual review and update of all Compliance and AML policies and procedures including annual Market Abuse Risk AssessmentOversight of Compliance and AML staff training, including “in person” Market Abuse trainingCompliance responsibility as part of a wider team for input and calibration of documentsMaintaining Conflict of Interest Register and handling complaint proceduresOversight and Chairmanship of relevant internal local Committees where appropriate, such as Market Standards CommitteeOversight of London trade and communication surveillance and calibration of monitoring systemsOversight of London transaction reportingMain point of contact for all communication with applicable Regulators including the FCAMonitor NASDAQ SMARTS alerts and act as final arbiter when received reports.Submit reports to FCA (STORs) and/or NCA (SARs).Monitor the Dealing Errors and Incident Reports within MKE UK employees.Manage and provide solution for financial crime and AML matters in accordance with the ToR for Compliance.Maintain the Compliance Monitoring Program as per the approved Compliance Procedures Manual.Perform duties in relation to Personal Account Dealing, as set out in the Firm’s Personal Account Dealing RulesImplement changes to the Firm’s systems, controls and procedures in response to FCA rule changes, so far as they affect the Firm.Have in-depth understanding of FCA Consultation Documents, Policy Notices, and other publications.Monitor for suspicious activity from both clients and employees.Ensure Firm’s compliance with FCA’s rules including timely submission of regulatory returns, if any.Per the prescribed responsibilities under SMCR for SMF 16 and 17All other ad-hoc Compliance duties/projects as and when assignedASAP Start DateTemp and Perm Roleup to £150,000If this is of interest, please apply and I'll be in touch asap.Thanks,Taryn