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Global Head of Compliance
3 months ago
THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience.
THE RESPONSIBILITIES:
- Management of global regulatory relationships.
- Advisory coverage of all business desks globally in conjunction with the local Compliance Officers.
- Oversight of global regulatory developments and driving their implementation.
- Oversight of Financial Crime risk globally.
- Oversight of the global Compliance Monitoring Programme.
- Oversight of Compliance training globally.
- Oversight of Transaction and Exchange Reporting.
- Ensuring Regulatory and Exchange queries, audits and investigations are completed in an appropriate manner.
- Approval of new business initiatives.
- Assessing regulatory developments and leading implementation as required.
- Oversight and submission (where applicable) of global regulatory returns.
- Ownership of the overarching Compliance Risk Framework to facilitate appropriate management of compliance risk and reporting to senior management.
- Oversight and execution of the compliance training programme to staff.
- Assistance in management of HR matters.
EXPERIENCE REQUIRED:
- Demonstrated broking/prime broking experience.
- Detailed and current knowledge of the FCA rules & regulation legislation essential, working knowledge of NFA / CFTC / MAS / DIFC / AMF rules advantageous.
- Prior experience of holding the CSMF 16/ SMF 17 (CF10/CF11) controlled functions.
- Managed a global team previously.
For further information please contact Natalie Antat.
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