Head of Compliance (Capital Markets)

A leading Wealth Management firm are seeking a Head of Compliance for their Capital Markets division. The role will report into the Chief Compliance Officer and you will ensure that all regulatory requirements are met across all relevant jurisdictions. 

Responsibilities:

• Ensure capital markets regulatory compliance is met, with particular focus on MIFID II, Market Abuse Regulation (“MAR”), Short Selling Regulations and more 
  
• Collaborate with first line teams to advise on compliance issues 
  
• Take ownership of Market Integrity Risk and ensure adequate procedural documentation is provided 
  
• Conduct trade surveillance, monitoring best execution and reporting on market abuse
  

Requirements

• At least 7 years working in a compliance or legal team in an investment firm or professional services firm
  
• A relevant third level degree i.e. Compliance, Risk, Business etc.
  
• Familiarity with Capital Markets businesses 
  
• Strong practical knowledge of trading related regulations such as MIFID II, MAR, Short-selling Regulations and more
  
• Experience engaging with senior stakeholders up to and including Board and the Central Bank
  

Benefits