Global Compliance Director
3 weeks ago
We are seeking an experienced Compliance professional to join our team as Global Head of Compliance. This role offers a unique opportunity to lead our global Compliance function and shape our regulatory approach.
**Key Responsibilities**
- Lead the development and implementation of our global Compliance strategy.
- Manage global regulatory relationships, ensuring compliance with relevant laws and regulations.
- Collaborate with local Compliance Officers to provide advisory coverage to all business desks.
- 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 effective monitoring and reporting.
- Oversight of Compliance training globally, designing and delivering training programmes for staff.
- Ensure Regulatory and Exchange queries, audits, and investigations are completed efficiently and effectively.
- Approve new business initiatives, assessing their regulatory implications.
- Assess regulatory developments, leading implementation as required.
- Oversight and submission of global regulatory returns, ensuring timely and accurate reporting.
- 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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