Head of Regulatory Affairs

2 days ago


London, Greater London, United Kingdom Compliance Professionals Full time
About the Role

We are seeking a highly skilled Compliance professional to lead our global Compliance function. As Global Head of Compliance, you will be responsible for managing regulatory relationships, providing advisory coverage, and overseeing global regulatory developments.

**Responsibilities**

  1. Establish and maintain relationships with key regulators worldwide.
  2. Collaborate with local Compliance Officers to provide advisory coverage to all business desks.
  3. Oversight of global regulatory developments, ensuring alignment with company policies.
  4. Oversight of Financial Crime risk globally, identifying and mitigating potential risks.
  5. Oversight of the global Compliance Monitoring Programme, ensuring effective monitoring and reporting.
  6. Design and deliver Compliance training programmes for staff, ensuring they understand their roles and responsibilities.
  7. Ensure Regulatory and Exchange queries, audits, and investigations are completed efficiently and effectively.
  8. Approve new business initiatives, assessing their regulatory implications.
  9. Assess regulatory developments, leading implementation as required.
  10. Oversight and submission of global regulatory returns, ensuring timely and accurate reporting.
  11. Develop and maintain the overarching Compliance Risk Framework, facilitating effective management of compliance risk and reporting to senior management.

**Requirements**

  • 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 CSMF 16/SMF 17 (CF10/CF11) controlled functions.
  • Managed a global team previously.

The estimated salary for this role is **£120,000 - £150,000** per annum, depending on experience.



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