Global Compliance Director

3 weeks ago


London, Greater London, United Kingdom Compliance Professionals Full time
Job Summary

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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