Maldon Partners are recruiting a Chief Compliance Officer on a permanent basis for a leading independent Equity Research Provider based in London.
The role requires an experienced candidate who has solid hands on equities compliance experience and who is able the hold the CF10/CF11 (SM16/17) functions.
Reporting directly to the CEO the role holder will be responsible for managing the compliance function, being responsible for all areas of compliance to which the business is exposed, and advising the management and employees of the business on all compliance matters.
Responsibilities will include but not be limited to:
Maintaining and processing all documentation required by the business in accordance with FCA and SEC requirements and any other applicable regulations.
Review all forms of marketing material to ensure compliance with regulation.
Advise the business on complicated equity market compliance matters as we seek to accelerate innovation and disrupt the global equity research industry.
Assist the business in the publication of impactful contentious and thoughtful research, whilst minimising any associated compliance risks that come with saying what you think and telling the truth in a regulated and litigious environment.
Advise the business on any compliance matter on an ad hoc basis.
Review contract negotiations with existing customers, new customers. and suppliers with a compliance lens.
Manage any compliance issues related to growing the business 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 business.
Lead, promote and manage the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting) functions in an effective and prudent manner in accordance with The firms 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 The Firms operational policies.
Understand the future regulation and compliance agenda and be able to build tactical plans around this agenda.
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.
In order to apply for the Chief Compliance Officer role you MUST have:
Solid generalist UK compliance experience (minimum 5years experience is required)
Extensive experience in an equity market related compliance role and 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.
Previous experience of designing and implementing a Compliance monitoring program
Good Microsoft skills
The Chief Compliance Officer role has a base salary of c£130,000 depending on experience and is based in the City of London.
*Please note that only candidates who meet the above criteria will be contacted.