Global Compliance Director
9 hours ago
About Us:
We are a world-leading specialist broker, providing expert advice and support to clients across various sectors. Our team is dedicated to delivering exceptional service and building long-term relationships with our clients.
Job Description:
The Global Head of Compliance will play a critical role in leading our compliance function, ensuring we meet regulatory requirements and maintain a strong risk management culture. The successful candidate will have extensive experience in broking/prime broking, with a proven track record of managing complex regulatory relationships.
Key Responsibilities:
- Develop and maintain relationships with key stakeholders, including regulators and industry partners.
- Provide advisory coverage of all business desks globally, ensuring effective risk management and regulatory compliance.
- Oversight of global regulatory developments, driving their implementation and ensuring alignment with company policies.
- Oversight of Financial Crime risk globally, identifying and mitigating potential risks.
- Oversight of the global Compliance Monitoring Programme, ensuring ongoing monitoring and review of compliance activities.
- Design and deliver effective training programmes for staff, ensuring ongoing education and awareness.
- Ensure Regulatory and Exchange queries, audits, and investigations are completed in an appropriate manner, minimizing reputational risk.
- Approve new business initiatives, ensuring they align with regulatory requirements and company policies.
- Stay up-to-date with changing regulations, assessing and implementing new requirements as necessary.
- Oversight and submission (where applicable) of global regulatory returns, ensuring timely and accurate reporting.
- Own and execute the compliance training programme to staff, ensuring ongoing education and awareness.
- Support the development of staff skills and knowledge, assisting in management of HR matters.
Requirements:
- Demonstrated broking/prime broking experience, with a proven track record of managing complex regulatory relationships.
- Detailed and current knowledge of FCA rules & regulation legislation, with working knowledge of NFA / CFTC / MAS / DIFC / AMF rules advantageous.
- Prior experience of holding the CSMF 16/ SMF 17 (CF10/CF11) controlled functions, demonstrating a deep understanding of regulatory requirements.
- Managed a global team previously, with experience of developing and implementing effective team strategies.
Estimated Salary: £120,000 - £180,000 per annum, depending on experience.
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