Job Description:

Job information Head of Public Side Compliance from the Company Peel Hunt, this latest Head of Public Side Compliance job vacancy is located in the city London ECM located in the country United Kingdom . This latest job opening is open to job seekers who have the latest education / graduate GCSE . Job Vacancies in this Administration field have been opened and published up to the specified time.

Job Responsibility:

About our Company

Peel Hunt are a leading UK investment bank focused on mid-cap and growth companies that puts long-term success above short-term gain, helping good companies succeed and delivering outstanding results. We have three business areas, but we act as one Peel Hunt. Our integrated approach combines expert research and distribution, a range of investment banking services, and an execution services hub that provides liquidity to the UK capital markets.

The Department

The role sits within the Compliance Function, which is part of the Risk and Compliance Department. The individual will report to the Head of Group Compliance and will work alongside other compliance team members.

Job Purchase

The Head of Public Side Compliance is responsible for providing compliance support, challenge and oversight of the firm's front office functions, in particular trading, research and sales.

Role responsibilities

Responsibilities and tasks include, but are not limited to:

• Have an understanding of the regulatory environment, and values and abilities consistent with the FCA conduct rules.

• Responsibility for compliance support, challenge and oversight of the firm's public side front office functions:
  • Liaising with Market Making, Sales Trading, Research, Sales and International Sales.
  • Provide advice and guidance on application of FCA and relevant Exchange rules, in particular surrounding best execution, MAR and MiFID II.
  • Preparing and presentation of regular reports, including for the Head of Group Compliance and governance committees.
  • Working with front office management to provide compliance input and support on key business initiatives.
  • Reviewing and updating compliance policies and procedures to ensure compliance with regulatory requirements.
  • Assisting with queries and issues on general compliance matters by relevant departments.
  • Overseeing periodic compliance thematic reviews and routine monitoring across the firm.
  • Assisting the Head of Group Compliance to manage compliance risks from a group perspective.
  • Review and advise on adequate arrangements for training of management and staff in order to ensure compliance with regulatory, and training and competency requirements.
  • Advising on relevant regulatory changes.
  3. Overseeing the operation of the Compliance Function's market abuse surveillance activities:
  • Ensuring market abuse controls, monitoring, risk assessment and surveillance activities remain up to date and appropriate.
  • Mentoring the surveillance team.
  • Reviewing draft STORs before submission to the FCA.
  • Overseeing responses to requests for information from regulators or exchanges.

Job Capabilities and Knowledge

• A compliance specialist with previous experience of advising on FCA rules and requirements. Knowledge of Exchange and/or Takeover Code rules desirable.
• Previous experience of working for investment firms that undertake trading, market making services, corporate finance, corporate broking or capital markets activity desirable.
• A good understanding of front office controls, monitoring and surveillance.
• Ability to work independently and support the compliance team as required
• Ability to liaise confidently and professionally with stakeholders, including senior management.
• Effective communicator both orally and in writing.
• Knowledge of Fidessa (or other trading platforms), Bloomberg and STOR surveillance systems desirable.
• Competent Microsoft Excel and Word essential.

Keywords : London jobs
Closed Date : 2025-08-21