Global Head of Compliance

2 days ago

London Area, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking or prime broking experience.


THE RESPONSIBILITIES:


  • Management of global regulatory relationships.
  • Advisory coverage of all business desks globally in conjunction with the 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.
  • 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 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.



EXPERIENCE REQUIRED:


  • Demonstrated broking/prime broking experience.
  • Detailed and current knowledge of the FCA rules & regulation legislation essential, working knowledge of NFA / CFTC / MAS / DIFC / AMF rules advantageous.
  • Prior experience of holding the CSMF 16/ SMF 17 (CF10/CF11) controlled functions
  • Managed a global team previously


For further information please contact Natalie Antat

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