Head of Compliance

3 weeks ago

London Area, United Kingdom FS Talent Group Full time

Job Title: Head of Compliance (SMF16)

Location: London, UK

Reports to: CEO and the Board

Salary - Circa £150k


Short notice period required


Company Overview

Our client is a leading player in the global financial services and fintech industry, renowned for its cutting-edge online trading and investment services. This innovative company has grown rapidly, establishing itself as a trusted partner for both retail and institutional clients. Their global presence is supported by a strong commitment to regulatory compliance and the delivery of tailored financial products to a diverse client base.


Background

With an emphasis on advanced digital solutions and a client-centric approach, this company provides an extensive array of products and services. They specialize in multi-asset trading and investment platforms that cover a broad range of asset classes, including foreign exchange (FX), stocks, bonds, commodities, mutual funds, ETFs, and derivatives. Their platforms allow clients access to global financial markets in real time, using state-of-the-art trading technology.

The company operates in a highly regulated environment and adheres to compliance standards set by financial regulators across various jurisdictions. As a core component of their growth strategy, they prioritize risk management and regulatory compliance, ensuring that their business practices are sustainable, ethical, and transparent.


Role Overview

The Head of Compliance (SMF16) is a critical leadership role responsible for ensuring the firm’s compliance with all regulatory requirements and mitigating compliance-related risks. The successful candidate will work closely with senior leadership and the Board to develop and implement a robust compliance framework that aligns with the firm's strategic goals. This individual will be instrumental in fostering a culture of compliance throughout the organization and will serve as the primary point of contact with regulatory bodies.


Key Responsibilities

  • Strategic Leadership: Develop and implement a comprehensive compliance strategy that aligns with the company's goals and ensures adherence to regulatory standards.
  • Regulatory Compliance: Oversee compliance with relevant regulatory frameworks, including FCA and PRA regulations, as well as global standards where the firm operates. Ensure ongoing adherence to SMF16 requirements.
  • Policy Development and Oversight: Design, update, and enforce compliance policies and procedures, ensuring they are effective, relevant, and consistently applied across the organization.
  • Monitoring and Reporting: Lead the compliance monitoring program, conduct risk assessments, and ensure accurate reporting to the Board and external regulators.
  • Advisory Role: Act as the primary advisor to senior management on all compliance matters. Provide expert advice on regulatory developments and their impact on the firm's operations.
  • Stakeholder Engagement: Maintain strong relationships with regulatory bodies and industry stakeholders to anticipate regulatory changes and influence policy where appropriate.
  • Culture of Compliance: Foster a culture that values regulatory compliance, ethics, and integrity across all levels of the organization.


Qualifications and Skills

  • Experience: At least 8-10 years of compliance experience within the financial services industry, preferably with a focus on multi-asset trading platforms and online investment services.
  • Knowledge of Products and Services: Strong understanding of financial products including FX, equities, fixed income, and derivatives, as well as online trading platforms and fintech innovations.
  • Regulatory Expertise: In-depth knowledge of FCA, PRA, and global regulatory frameworks. Familiarity with SMF16 requirements is essential.
  • Leadership Skills: Proven experience leading a compliance team and managing complex compliance issues across a multi-jurisdictional firm.
  • Analytical Ability: Excellent risk assessment, policy development, and strategic planning skills. Ability to identify and mitigate compliance risks effectively.
  • Communication Skills: Exceptional interpersonal and communication skills, capable of building relationships and influencing stakeholders at all levels.

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