Global Compliance Leader

3 weeks ago


London, Greater London, United Kingdom Compliance Professionals Full time

About the Role:

The Global Head of Compliance will be responsible for managing global regulatory relationships and advisory coverage of all business desks globally.

Oversight of global regulatory developments, driving their implementation, and ensuring compliance with financial crime risk are key aspects of this role.

A strong understanding of FCA rules & regulations legislation is essential, with a working knowledge of NFA / CFTC / MAS / DIFC / AMF rules being advantageous.

This senior position requires experience in managing a global team and prior experience of holding controlled functions such as CSMF 16/ SMF 17 (CF10/CF11).

Our client offers a competitive salary of £120,000 - £150,000 per annum, depending on experience.

Key Responsibilities:

  1. Manage global regulatory relationships
  2. Advisory coverage of all business desks globally
  3. Oversight of global regulatory developments
  4. Driving implementation of regulatory requirements
  5. Ensuring compliance with financial crime risk
  6. Oversight of Transaction and Exchange Reporting
  7. Approval of new business initiatives
  8. Submission of global regulatory returns
  9. Ownership of the overarching Compliance Risk Framework

Requirements:

  • Demonstrated broking/prime broking experience
  • Detailed and current knowledge of FCA rules & regulations legislation
  • Prior experience of holding controlled functions such as CSMF 16/ SMF 17 (CF10/CF11)
  • Managed a global team previously

About Us:

We are Compliance Professionals, a world-leading specialist broker based in the City. Our company culture values expertise, innovation, and teamwork.



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