Deputy Head of FinCrime in City of London

This role reports to the Head of FinCrime, to lead the provision of high quality, accurate and timely advice to a fast-paced, dynamic trading and investing company on regulatory and conduct matters. The role will also include the management of a number of compliance professionals within the UK/Group advisory team.

Responsibilities

• Design and ownership of key Compliance policies covering key elements of MiFID II and COBS, such as client categorisation, appropriateness, suitability, financial promotions and complaints handling, client reporting and transparency requirements
• Management of Compliance Advisory Operations Team (including business support, compliance approval process e.g. financial promotions sign off and complaints handling)
• Provision of second line oversight and advice for front line teams and processes for all client facing teams, marketing, product design and governance teams
• Responsibility for ensuing timely advice and support to commercial or operational teams on compliance matters
• Compliance lead for commercial driven projects — i.e. advising and overseeing new initiatives
• Leading compliance initiatives and projects including analysis, interpretation and implementations of new regulation or process improvement for second line controls
• Providing advice, risk and impact assessments in response to relevant regulation, strategic initiatives or regulatory developments
• Designing and delivering effective training for commercial teams
• Contribution to or creation of management information for senior management or boards and board committees

Qualifications

• 7+ years\’ experience in a Compliance team (control function) within retail-focussed financial services, such as asset management, broking or private banking or relevant retail experience from a financial services regulator
• High level of familiarity with UK regulation and regulatory framework, including MiFID II, COBS, CASS, SM&CR, PRIIPs;
• Demonstrable ability to influence senior management and a broad range of internal stakeholders, through the provision of high quality, specific and timely advice
• Experience working with a high level of autonomy, proven decision making and solutions driven approach to problem solving, ability to exercise judgement as appropriate
• Takes ownership of issues and drives projects or solutions to conclusion
• Excellent communication skills — both verbal and written
• Strong technical ability, attention to detail and confidence in regulatory interpretation

About IG Group

Hello, we\’re IG Group. We are a publicly‑traded FTSE250 FinTech company who run mobile, web and desktop platforms that help our clients trade stocks & shares, leveraged products, Futures & Options and Crypto. We are ambitious. Over 340,000 people already use our platforms. We\’re global with offices in 18 countries and products in 16 regions. We\’re hungry to move faster, ship better product for our customers and grow our user base. We believe in high autonomy, and we want people who are looking to do things differently to create better experiences for our customers. We work in cross‑functional teams and are laser focused on increasing the number of active clients we serve to drive sustainable growth.

Core Values

• Lead and Inspire: Drives trust, alignment, and enthusiasm
• Think Big: Focus on the problems that most impact commercial outcomes
• Champion the client: Understand and prioritise client\’s needs
• Deliver at pace: Push for fast, sustainable growth
• Raise the bar: Take ownership, be accountable and share feedback

We believe that diversity is vital to success, it fuels creativity, drives innovation and sets us up for global success. We\’re committed to building teams with a variety of perspectives and skills to help us realise our vision and strategy, that\’s why we encourage applications from people with diverse backgrounds and experiences to join us on this journey. Learn more about our D&I approach here.