Compliance Director
15 hours ago
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
-
Compliance Director
5 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob TitleCompliance DirectorAbout the RoleWe are seeking a seasoned professional to spearhead our global compliance efforts as Compliance Director.Key ResponsibilitiesEstablish and maintain strategic relationships with regulatory bodies worldwide.Provide authoritative advisory coverage across all business desks globally, in collaboration with local...
-
Compliance Director
1 week ago
London, Greater London, United Kingdom Compliance Professionals Full timeThe Compliance Professionals is seeking a seasoned Compliance Director to oversee regulatory affairs and ensure the firm's policies and procedures remain effective.Responsibilities:Maintain knowledge of FCA regulations and guidelines pertaining to FX/CFD trading and financial services.Serve as the primary point of contact for regulatory inquiries and...
-
Compliance Director
4 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeWe are seeking a seasoned professional to spearhead our compliance efforts as the Compliance Director at Compliance Professionals.Key Responsibilities:Stay up-to-date with all pertinent FCA regulations and guidelines related to FX/CFD trading and financial services.Serve as the primary point of contact for regulatory inquiries, examinations, and other...
-
Senior Compliance Director
19 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Senior Compliance DirectorEstimated Salary: £100,000 - £120,000 per annumAbout the RoleAs a Senior Compliance Director at Compliance Professionals, you will be responsible for leading our global compliance team and ensuring we maintain the highest standards of regulatory compliance.The successful candidate will have extensive experience in...
-
Senior Compliance Director
1 month ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob Title: Senior Compliance DirectorSalary Range: £100,000 - £130,000 per annumAbout the Role:This is an outstanding opportunity for an experienced Senior Compliance Director to join a leading Global Payments business in a key role at an exciting time of their growth and expansion.Key Responsibilities:Leading the Compliance monitoring programme and...
-
Compliance Risk Director
20 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Description: Compliance Risk DirectorWe are seeking an experienced Compliance Risk Director to join our team at Compliance Professionals. This is a fantastic opportunity for a skilled professional to lead our global compliance efforts and drive regulatory excellence.About the Role:Lead our global regulatory relationships and ensure compliance with all...
-
Compliance Director
20 hours ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob Title: Compliance DirectorAj Fox Compliance is seeking an experienced compliance professional to lead our risk and compliance team in London. With a salary of £80,000 - £110,000 per annum, this role offers a unique opportunity to shape and lead a key function within a top-tier law firm.The successful candidate will oversee the client onboarding...
-
Regulatory Compliance Director
5 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob Title: Regulatory Compliance DirectorWe are seeking an experienced Regulatory Compliance Director to join our risk and compliance team in London.This is a great opportunity for a skilled compliance professional to take on a leadership role and drive our regulatory compliance strategy forward.Develop and implement effective regulatory compliance policies...
-
Compliance Director
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob TitleCompliance Director - Financial Crime SpecialistCompany OverviewOur client is a leading global investment management business with offices in the West End. We have been exclusively instructed to assist with their hire of a Compliance Director on a 13-month fixed-term contract.About the RoleThe Compliance Director will work within the region to...
-
Compliance Director
1 week ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Compliance Director - Control RoomThe estimated salary for this role is £130,000 per annum.About Us:We are Compliance Professionals looking to establish a control room in the UK.Job Overview:Build Control Room Team: Establish and lead the Control Room function, building a team from scratch.Policies and Procedures: Develop and implement robust...
-
Compliance Director
16 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob OverviewWe are seeking a highly experienced Compliance VP to join our team at Compliance Professionals. This is an exciting opportunity for a seasoned professional with expertise in Public Markets compliance.The role will suit someone with at least 6 years' experience in in-house Compliance roles, preferably with public markets oversight. The ideal...
-
Compliance Director
21 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob TitleHead of ComplianceAbout the CompanyWe are seeking a highly experienced Head of Compliance to join our team at Compliance Professionals. As a leading Forex and CFD brokerage firm, we are dedicated to maintaining the highest standards of regulatory compliance.Key ResponsibilitiesStay up-to-date with all pertinent FCA regulations and ensure our...
-
Compliance Director
2 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeThe Role: We are seeking a seasoned professional to lead our global compliance efforts as the Global Head of Compliance. As a key member of our leadership team, you will be responsible for managing regulatory relationships, providing advisory coverage, and overseeing compliance risk globally.About the Job: The successful candidate will have demonstrated...
-
Compliance Director
1 week ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeWe are exclusively recruiting for a Compliance Director - Accountancy Firm to join our client's team. As a key member of the leadership team, you will oversee the development and implementation of their compliance strategy, ensuring that all regulatory requirements are met and risks are mitigated.You will work closely with operations to ensure that internal...
-
Compliance Lead
1 week ago
London, Greater London, United Kingdom Compliance Wise Full timeAt Compliance Wise, we are seeking an exceptional individual to lead our global Compliance function. The estimated salary for this role is $120,000 - $180,000 per year, depending on experience and qualifications. Located in London, UK, this position offers a unique opportunity to work with a leading international law firm and professional services...
-
Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob SummaryWe are seeking a highly skilled and experienced Compliance Officer to join our team at Compliance Professionals in London. The successful candidate will be responsible for ensuring that all regulatory requirements are met and maintained, while also providing administrative support to the legal department.Key Responsibilities:Writing minutes and...
-
Enterprise Compliance Specialist
5 days ago
London, Greater London, United Kingdom Sovos Compliance Full timeAbout Sovos ComplianceSovos Compliance is a leading provider of tax, compliance, and trust solutions that empower businesses to navigate the complexities of an increasingly regulated world. Our cloud-based software platform is designed to meet the demands of a rapidly evolving global regulatory landscape, providing unparalleled integration with business...
-
Compliance Director
1 week ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob Description:Our client, a friendly and rapidly expanding mid-sized firm of Chartered Accountants, is looking for a Compliance Director - Financial Services to join their team. The role will involve managing all ICAEW requirements, ensuring internal processes and controls are in line with regulations, and overseeing Anti-Money Laundering reviews.The ideal...
-
Compliance Director
4 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeCompliance Leader WantedAj Fox Compliance is seeking a seasoned professional with a passion for AML, regulatory compliance, and conflict management to lead their compliance strategy and team. This high-impact role covers all aspects of AML, sanctions, and regulatory compliance while driving innovation and best practices across the firm.Key responsibilities...
-
Compliance Regulatory Specialist
3 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob OverviewOur client is a London-based broker and market maker, specialising in the trading of futures, options and other derivatives.We are seeking a skilled Compliance Legal Assistant to join our team. As a key member of our compliance department, you will be responsible for ensuring that all regulatory requirements are met. This includes writing...