Interim Head of Compliance – Boutique Investment Bank – 2nd April 2019

Our client, a leading Boutique Investment Bank is looking for an Interim Head of Compliance to join their team in London. It will be a four day a week role and all applicants require a legal background.


Key Responsibilities

Duties Include:
• Provide guidance and advice to CEO and senior management on relevant regulations that are applicable to the firm’s business.
• Responsible for ensuring the efficient and timely implementation of new regulatory requirements across the firm’s products and services.
• Manage relevant staff in the delivery and implementation of regulatory standards.
• Making sure policies and procedures are updated, sufficiently disseminated and in place.
• Responsible for leading regulatory developments regarding project planning and adherence.
• Liaise with regulators on a regular and ad-hoc basis regarding required reporting and other regulatory queries.
• Ensure that the business establishes sufficient systems and controls relevant to regulatory requirements and developments.
• Develop comprehensive assessment solutions to meet key stakeholders reporting requirements.
• Identify the impact of regulatory developments on the activities of compliance function.
• Follow up on the key regulatory developments and their impact on various business activities and lines.
• Prepare an annual compliance report for the board.
• Review the findings of the compliance monitoring and ensure that appropriate resolutions and recommendations are actioned and implemented satisfactorily.
• Provide ad-hoc compliance advice to the business (including Jersey branch office).
• Take ownership and accountability of the compliance deliverables.
• Identify and report regulatory risk and any potential reputational damage.
• Appropriate escalation, tracking of issues and ensuring that sufficient follow up and closing out of compliance issues are actioned in a timely and efficient manner.
• Excellent communication and interpersonal skills and be able to interact at all levels of the business efficiently.
• Have the ability to multi task and adapt to new situations.
• Be a quick learner and self-starter with the ability to work effectively with minimal supervision.
• Assist with regulatory reviews, inspections and investigations.
• Be detail-oriented and able to produce quality, even when working under tight time frames.
• Be a proactive team player who enjoys working collaboratively.
• Ensure the firm provides sufficient rregulatory training to all its staff.



• 8 to 10 years of compliance experience.
• Educated to Degree level (preferably a degree in Law).
• Compliance advisory experience in an investment bank or brokerage firm.
• Knowledge and understanding of the FCA Handbook relevant to a brokerage firm dealing with Professional Clients and Eligible Counterparties, and experience of drafting policies and procedures.
• Conduct of Business Sourcebook knowledge.
• Product knowledge (Cash Equities, Fixed Income and Corporate Finance advisory).




Contact Details

Name: Emma Karslake


Number: 0203 7780309

Posted: 2nd April 2019

Ref: RSSKJ020419