Compliance Risk Director

14 hours ago


London, Greater London, United Kingdom Compliance Professionals Full time
Job Description: Compliance Risk Director

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.
Key Responsibilities

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.
Requirements

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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