Compliance Director

15 hours ago


London, Greater London, United Kingdom Compliance Professionals Full time
Job Title: Compliance Director

Company Overview:

We are seeking a seasoned Compliance Director to join our team at Compliance Professionals. The successful candidate will be responsible for managing global regulatory relationships, providing advisory coverage of all business desks globally, and overseeing the implementation of global regulatory developments.

Key Responsibilities:

  • Management of global regulatory relationships
  • Advisory coverage of all business desks globally in conjunction with 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

Required Skills and Qualifications:

  • Demonstrated broking/prime broking experience
  • Detailed and current knowledge of 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

Estimated Salary: £120,000 - £180,000 per annum


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