Head of Compliance – Part time (up to 2 days per week)

Job description

THE COMPANY:Our client is a well-established London-based brokerage firm, looking for an SMF16 (Compliance Oversight) on a part time basis. The role will require up to 2 days per week .

THE RESPONSIBILITIES:

Responsible for the Firm's performance of its obligations under the FCA's regulatory regime for a UK 750k MiFIDPru Investment firm treating Retail, Professional, and Eligible Counterparties.

Horizon scanning of all proposed changes to the UK financial regulatory regime as applicable to MiFIDPRU firms.

Internal reporting to the Governing Body.

Accountable for complaints handling and reporting.

Liaise and support the MLRO. Oversee the firm's compliance with evolving AML environment.

Engagement with exchanges and clearing houses.

EXPERIENCE REQUIRED:

7+ years work experience as a regulatory lawyer and/or as an SM16 and/or in regulatory enforcement.

Excellent verbal and written communication skills.

Sound computer literacy skills e.g. Microsoft Office (Word, Excel etc.) and MS Outlook.

For further information please contact Hannah Tabatabai

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Extra information

Status

Open

Education Level

Secondary School

Location

London

Type of Contract

Full-time jobs

Published at

03-04-2026

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English