My client is a Securities Trading firm based in London. They are looking for a middle management/second in command in compliance to step up and be the CF10/11 for the firm.

It is quite a generalist position and some of the duties will include:

• Being accountable to the PRA / FCA for the delivery of the firm's regulatory compliance
• Maintaining and executing the compliance monitoring programme
• Providing timely, accurate, and relevant regulatory advice to the business

The ideal candidate:

• 3-5 years compliance experience
• Ability to work within a small office
• Currently middle management or a number two in compliance looking to step up to hold CF10/11
• Compliance experience within a small broking, securities or wealth management firm
• Ability to liaise with stakeholders at all levels

Please get in touch for further details on Nicholas.Georgiou@markssattin.com - 02077479717 .

Nick