At a Glance
- Tasks: Lead compliance efforts and ensure adherence to FCA regulations across various financial products.
- Company: Dynamic financial firm focused on innovation and regulatory excellence.
- Benefits: Attractive salary, comprehensive benefits, and opportunities for professional growth.
- Other info: Join a forward-thinking team dedicated to compliance and risk management.
- Why this job: Play a crucial role in shaping compliance strategies and protecting consumers in the financial sector.
- Qualifications: Extensive knowledge of FCA regulations and strong leadership skills required.
The predicted salary is between 75600 - 92400 £ per year.
The Compliance Oversight function (SMF16) holds overall accountability for ensuring the firm’s activities comply with FCA rules, including Conduct of Business (COBS), SYSC, MAR, MLR 2017, and the Consumer Duty.
The role provides independent challenge, sets the compliance framework, and ensures risks associated with CFDs, leveraged trading, cryptoassets, and other retail investment products are identified, monitored, and controlled.
Core Responsibilities Regulatory Framework — Maintain and oversee the firm’s compliance policies, procedures, and monitoring programme across all product lines (CFDs, FX, equities, commodities, crypto).
CFD Oversight — Ensure adherence to FCA rules on leverage limits, appropriateness testing, negative balance protection, and marketing restrictions.
Crypto Compliance — Oversee compliance with FCA cryptoasset financial promotions regime, AML/CTF obligations, and ensure risk disclosures meet regulatory expectations.
Consumer Duty — Ensure products, communications, and client journeys deliver good outcomes for retail clients.
Governance — Chair or participate in Compliance, Risk, and Product Governance Committees; provide MI to the Board.
Monitoring
Hiring: Head of Compliance employer: Black Swan Group
Black Swan Group is an exceptional employer, offering a dynamic work environment in the heart of London where innovation and collaboration thrive. With a strong focus on employee growth, the firm provides ample opportunities for professional development and career advancement, alongside a highly competitive compensation package that reflects the value placed on expertise and dedication. Join a team that values your contributions and fosters a culture of excellence and efficiency in the fast-paced world of equities operations.
