Hamilton Court FX is a financial boutique founded in 2011 in London and is now positioned among the fastest-growing companies in the sector.
We provide services for companies as well as financial institutions that need to manage their FX exposure. We allow SMEs and Large Corporations to trade globally by eliminating boundaries related to traditional procedures. We have a core belief: teamwork makes the dream work.
About the role
The Head of Regulatory Compliance will report to the Chief Legal and Compliance Officer and act as the senior expert in Regulatory Law and Compliance within our boutique Payments and Investment firm. They will also support the global expansion of HCFX. The successful candidate will bring commercial acumen, strong communication skills, a solutions mindset and the ability to work as part of the team. Experience in FX and Payments Services products from small to mid-sized brokerage is preferred. This is an impactful role in which you will work directly with the senior management of the business and control functions, as well as attending committees on your own and contributing to internal policies.
This role is predominantly office based with the ability to work from home upon discussion with the line manager. During the probation period (3 months), you will be required to work full time from the office.
As the Head of Regulatory Compliance, you will be responsible for:
- Day to day management of the Regulatory Compliance team
- Acting as the first point of contact for the business and Executive team for any legal regulatory compliance advice
- Legal & Compliance Horizon monitoring
- Working with the firms front office sales and dealing teams to provide oversight of their activities
- Vendor Due Diligence and monitoring all contractual NDAs, T&Cs etc across the business
- Assisting the CLCO in preparing quarterly management information for the Audit and Risk Committee
- Designing and conducting compliance commonitoring program
- Working with the Compliance team to provide guidance, advice and training to the firms staff in relation to Compliance matters
- Maintaining compliance policies, procedures, and other central compliance duties, including SMCR
- Ensuring all Regulatory Reporting & Fillings are completed within the deadline.
Essential experience & skills
We want to set you up for success and we believe these experiences and skills will help you thrive in this role:
- 5+ years core compliance experience in an investment firm or other financial services sector, in a management role
- Knowledge of MIFID 2, including client classification for professional clients, best execution, client disclosures, remuneration policies and ongoing training requirements for MIFID staff
- Understanding of the SMCR rules and implementation of suitability and background checks
- Experience with FCA reporting for PSD and MiFID firms
- A good knowledge of data protection and GDPR rules
- Experience in making judgments from applying policies and processes to non-routine scenarios with imperfect information
- Demonstrate strong moral and ethical principles
- Comfortable in a fast-paced environment, where non-routine and/or complex issues are common.
Apply now and join HCFX Team!
HCFX is a lively place to work, and we combine an interesting role with great benefits that promote the health and well-being of our staff. Our team benefits from things like an enhanced pension and medical cash plans, plus a range of flexible benefits to choose from to suit your lifestyle like Hello Fresh deliveries, private medical insurance, travel voucher or gym membership.