Compliance Director UK
3 days ago
**Job Title:** Compliance Director UK
We are seeking an experienced Compliance Director to lead our UK-based compliance team. This role is pivotal in ensuring our firm's regulatory compliance with all applicable regulations.
**Key Responsibilities:**
- Maintain up-to-date knowledge of FCA regulations and guidelines relevant to brokerage firms, ensuring full regulatory compliance.
- Be the primary point of contact for regulatory audits and inquiries, maintaining strong relationships with regulatory bodies.
- Oversee and enhance our policies and procedures, ensuring they remain current and effective.
- Develop and implement compliance frameworks to ensure regulatory risk is mitigated.
- Prepare and submit accurate and timely regulatory reports and filings.
- Collaborate with the global compliance team to align practices and share best strategies.
**Requirements:**
- Experience in holding SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) responsibilities.
- Experience leading compliance functions within the financial services industry, preferably in a brokerage setting.
- Deep knowledge of FCA regulations around derivatives and trading products, such as CFDs and FX.
- Exceptional communication and interpersonal skills, with the ability to effectively interact with internal teams and regulatory authorities.
- Relevant certifications, such as a CISI Diploma in Investment Compliance or an ICA Diploma in Anti Financial Crime, would be desirable and advantageous.
Our company offers a competitive salary, estimated at £80,000 - £100,000 per annum, depending on experience.
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