The Head of Compliance for this firm is a senior position with responsibility for
providing appropriate compliance oversight of the group's uthorized trade repository. The
ideal candidate will have relevant regulatory experience with regard to EMIR, MiFID and MiFIR
regulations, will be familiar with wider European regulations as well as AFM and FCA
requirements, and be able to manage and operate a compliance program for Unavista with the
requisite policies, procedures and controls. It is also expected that the individual will develop
and maintain business division relationships across the region.
* Controls: Review and ensure that Compliance controls are fit for purpose and
address the regulatory requirements. Document the outputs of the assessments
and work with the business on developing remediation plans to mitigate regulatory
risks where required.
* Reviews and analysis: Assist in the review of marketing material and analyses
compliance perimeter issues with respect to investment advisers' rules.
* Monitoring & Assurance: Undertaking compliance monitoring & assurance in
respect of the core compliance risks of the business. Carry out ad hoc risk based
reviews and help the business to devise and close out on corrective action plans.
Identify policy breaches and provide appropriate reporting to management.
* Policy management: Supporting the management of compliance policies and the
* Training: Maintain an appropriate regime for new joiner induction training and
ongoing compliance training for all staff; deliver ad hoc compliance training on new
initiatives as and when required.
* Major regulatory projects: Participation in major regulatory projects that have a
business impact, ensuring that changes are appropriately embedded in the
business. Ensure effective implementation of all new compliance policies.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.