Compliance Director
3 weeks ago
The 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 broking/prime broking experience, with in-depth knowledge of FCA rules & regulation legislation. They will also have prior experience of holding the CSMF 16/ SMF 17 (CF10/CF11) controlled functions and managed a global team previously.
The Company: Our client is a world-leading specialist broker based in the City, with a strong commitment to regulatory compliance.
Responsibilities:
- Manage global regulatory relationships
- Provide advisory coverage of all business desks globally
- 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
- Ensure 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
Requirements:
- Demonstrated broking/prime broking experience
- Detailed and current knowledge of the 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
Salary: £120,000 - £180,000 per annum, depending on experience
-
Compliance Director
3 weeks 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
2 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Compliance DirectorCompany 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...
-
Compliance Director
3 weeks 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
3 weeks 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...
-
Compliance Director
4 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompany OverviewThe company Compliance Professionals is a leading provider of compliance and risk management services. Our team of experts works closely with clients to ensure they meet all regulatory requirements.Job DescriptionWe are seeking a highly skilled Compliance Director to join our team. As a key member of the leadership team, you will be...
-
Senior Compliance Director
2 weeks 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...
-
Director of Risk and Compliance
3 days ago
London, Greater London, United Kingdom Director File Full timeAbout the RoleAs a Director of Risk and Compliance, you will play a critical role in ensuring the integrity and security of our IT systems. You will lead a team of professionals in delivering high-quality IT audit requirements for our external audits in the financial services sector. This role offers a chance to further develop your career and contribute to...
-
Compliance Director
2 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob OverviewWe are seeking a seasoned Compliance Director to lead our compliance function and ensure adherence to FCA regulations.Key Responsibilities:Stay up-to-date on FCA regulations and ensure our policies and procedures remain effective and current.Serve as the primary point of contact for regulatory inquiries and examinations, maintaining excellent...
-
Compliance Risk Director
2 weeks 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
3 weeks 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
3 weeks 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
3 weeks 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 and Regulatory Affairs Director
1 week ago
London, Greater London, United Kingdom Compliance Professionals Full timeAbout Us Compliance Professionals is a world-leading specialist broker based in the City, offering a unique blend of expertise and innovation in compliance and regulatory affairs. Our team of experts works tirelessly to provide cutting-edge solutions to our clients, ensuring they remain compliant with all relevant regulations and minimize their exposure to...
-
Compliance Director
2 weeks 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
2 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Financial Services Compliance LeadWe are seeking a highly experienced Financial Services Compliance Lead to join our team at Compliance Professionals. This is a permanent position, and we offer a competitive salary range of £80,000 - £110,000 per annum, depending on experience.Job Description:Ensure regulatory compliance with the FCA handbook...
-
Compliance Director
3 weeks 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
3 weeks 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
3 weeks 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
2 months 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
3 weeks 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...