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Head of EMEA Markets Compliance

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/JOES/25683
Contact Joe Smith
Date posted 24-03-2017

One of the leading UK Investment Management firms in London is currently looking for a Head of EMEA Markets Compliance to join their Legal and Compliance Team.

As the EMEA Head of Market Compliance your main duties will include:

• Manage the EMEA Markets Group Compliance team. This includes providing technical advice on the application of financial services regulation to relevant business lines (excluding CASS, AML, T&D, Sanctions) and execute the monitoring for Markets in conjunction with the EMEA Compliance monitoring team.
• Work with business lines and business partner functions to help them deal with the impact of regulatory change and to help them develop and implement policies and procedures to accommodate regulatory change.
• Build a good understanding of the EMEA governance framework, including escalation requirements, and ensure there is clear, appropriate and evidenced apportionment of responsibilities amongst staff members for whom the job holder has management responsibility
• Contribute to the effective governance of the EMEA region. Play an active role in regional committees and local boards, offering constructive challenge and helping to support the Committee/Board fulfil its role and responsibilities for those they are a member
• Manage and oversee the control process validation to help ensure compliance with relevant regulations.

For more information on the role please contact Adam Pollard on 02031453348 or

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Contact Joe about this job

Associate, Consultant