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Head of CFE Compliance

4 months ago

London UK, UK, United Kingdom Cantor Fitzgerald Full time

Main purpose of the Role:

  • To serve as the FCA registered Compliance Officer (SMF16).
  • To develop and deliver a Compliance Programme, including an Annual Compliance Plan and Compliance Monitoring Programme, designed to identify and manage regulatory risk.
  • To manage a team responsible for delivering the Compliance Programme, providing advisory support and challenge to the business, and managing regulatory, venue and exchange matters.
  • To manage the day-to-day operation of the CFE Compliance department, including budgets, hiring and performance management.

Key Responsibilities:

Risk Management

  • Manage the delivery of an annual Compliance Risk Assessment exercise.
  • Produce and deliver a risk-based Annual Compliance Plan.
  • Review and challenge the regulatory and conduct aspects of the Risk and Control Self Assessments (RCSA) performed by the first line.
  • Ensure that any risk mitigation actions are performed on a timely basis.
  • Have overall responsibility for operational risk management issues within the Compliance function and operate as the key contact with the Operational Risk function.

Policies and Procedures

  • Manage the creation and delivery of a Compliance Policy Framework that is designed to address all material regulatory and conduct risks.
  • Provide input into and assist with the drafting of relevant Compliance policies and procedures.
  • Support the Compliance team to ensure all policies and procedures are updated on a periodic basis and reflect regulatory changes.

Training

  • Manage the creation and delivery of a Compliance Training Plan designed to ensure all staff are aware of and understand their regulatory and conduct responsibilities.
  • Provide input into and assist with the drafting of relevant Compliance training materials.
  • Support the Compliance team to ensure all training materials are updated on a periodic basis and reflect regulatory changes.

Surveillance and Monitoring

  • Manage the production and delivery of a risk-based Compliance Monitoring Programme, including trade and e-communication surveillance, AML transaction monitoring, economic sanctions screening and desk/thematic reviews.
  • Support the Compliance team in the execution of the Compliance Monitoring Programme.
  • Ensure all material issues arising from the Compliance Monitoring Programme are appropriately investigated managed, escalated and documented.
  • Receive complaints and suspicious incident reports, ensure there are documented, investigated and escalated appropriately, and where necessary reported to regulators on a timely basis.

MI/Reporting

  • Provide regular MI/reports to senior management, the Operational Risk and Compliance Committee (ORCC) and the Board, including the Risk and Audit Committees.
  • Escalate urgent issues on an ad hoc basis between regular MI/reports.

Key Contacts/Working Relationships

  • Establish and manage relationships with key senior stakeholders and Board members.
  • Develop and maintain relationships with regulators and exchanges and ensure any requests, issues or findings are addressed on a timely basis.
  • Work closely with global Compliance colleagues to ensure a common approach where relevant.
  • Work closely with the Client Due Diligence (CDD) team to ensure AML and financial crime issues are adequately addressed.
  • Work closely with the Internal Audit function to ensure all regulatory and conduct issues are addressed appropriately and any Compliance findings are remediated on a timely basis.

Day-to-Day Operations

  • Develop and propose the annual budget for the CFE Compliance function.
  • Manage the recruitment of new staff, including the creation of relevant job descriptions.
  • Conduct periodic performance reviews on direct reports and ensure that all performance reviews for the CFE Compliance team are completed on a timely basis.
  • Develop and propose annual remuneration recommendations.
  • Share information as appropriate with other members of the Compliance department and the wider group.
  • Represent the Compliance Function within operational meetings.
  • Take on such roles and responsibilities as are required from time to time to contribute to the successful operation of the CFE Compliance function.

Skills / experience required:

  • In-depth knowledge of the UK regulatory framework, including legislation, regulation, best practices and exchange rules.
  • Proven track record of success in a Compliance leadership role.
  • Excellent working knowledge of a wide range of financial products and services.
  • Ability to manage a suite of regulatory policies and procedures.
  • Strong academic background and relevant professional qualifications.
  • Change management experience.
  • Experience of undertaking compliance monitoring and advisory activities.
  • Experience of working with regulators and Board members.
  • Ability to draft written reports and provide oral briefings on matters of key regulatory significance.
  • Good understanding of the risk identification and management process.

Systems used:

  • Knowledge of trading systems advantageous (e.g., Fidessa, Bloomberg, Reuters, etc.)
  • Excellent PC skills including Word, Excel and PowerPoint.

Personal attributes:

  • Strong leadership and people management skills.
  • Analytical with strong planning and organisational ability.
  • Ability to get "buy-in" throughout the organisation.
  • Professional attitude with the ability to exercise oversight across the whole firm to ensure that it operates with integrity and demonstrates the highest ethical standards.
  • Excellent communication skills and the ability to present technical information and influence decision making at senior management and Board level.
  • Strong problem-solving skills and the ability to develop and implement innovative solutions for resolving compliance issues which meet regulatory requirements.



To all recruitment agencies – We have a dedicated in-house recruitment team responsible for identifying and hiring top talent. We do not engage with external recruitment agencies, and we kindly request that recruitment agencies refrain from contacting us or any employees regarding job placements or candidate submissions for our open positions. Please respect our policy and understand that we will not be responsible for any recruitment fees or charges associated with the submission of any unsolicited resumes. In the event that we require external assistance for a specific recruitment effort, we have established relationships with preferred partners, and we will reach out to them directly.