Head of Compliance & Legal Counsel

Descripción del puesto

Head of Compliance & Legal Counsel We are partnering with a highly regarded financial services firm to appoint an experienced Head of Compliance & Legal Counsel . This is a senior leadership position with responsibility for overseeing the firm's compliance, regulatory, financial crime, and legal functions while acting as a key advisor to executive management. The successful candidate will serve as the subject matter expert on UK regulatory requirements, ensuring the business maintains the highest standards of governance, conduct, and regulatory compliance. Key Responsibilities Compliance Leadership Act as the firm's subject matter expert for UK regulatory frameworks, including CASS, SYSC, and SMCR. Lead the annual review and enhancement of Compliance and AML policies, procedures, and frameworks, including the annua Market Abuse Risk Assessment. Design, oversee, and deliver Compliance and AML training programmes, including Market Abuse training. Provide compliance oversight and input into the drafting, review, and calibration of key regulatory and governance documentation. Maintain the firm's Conflicts of Interest Register and oversee complaints-handling procedures. Chair and oversee relevant internal governance committees, including market conduct and standards committees where required. Oversee trade surveillance, communications monitoring, and the calibration of surveillance systems. Maintain oversight of transaction reporting obligations and associated controls. Serve as the primary point of contact for UK regulators, including the Financial Conduct Authority (FCA). Review and assess surveillance alerts, acting as the final escalation point for investigations and regulatory assessments. Prepare and submit regulatory reports, including Suspicious Transaction and Order Reports (STORs) and Suspicious Activity Reports (SARs ) where required. Oversee dealing error investigations and incident reporting processes. Lead on financial crime, anti-money laun