Compliance Risk Director
14 hours ago
We 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 relevant regulations.
- Provide advisory coverage of all business desks globally in conjunction with local Compliance Officers.
- 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.
Your key responsibilities will include:
- Managing global regulatory relationships.
- Providing advisory coverage of all business desks globally.
- Oversight of global regulatory developments.
- Oversight of Financial Crime risk.
- Oversight of the global Compliance Monitoring Programme.
- Oversight of Compliance training.
- Oversight of Transaction and Exchange Reporting.
- Ensuring 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.
- Oversight and execution of the compliance training programme.
- Assistance in management of HR matters.
To be successful in this role, you will need:
- 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. If you have the necessary skills and qualifications, please submit your application.
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