Our client is a well-established corporate broker with a growing international presence, including offices in London and Dubai. Renowned for their expertise in capital markets and advisory services, they work with a broad range of clients from listed companies to high-growth private businesses. As part of their continued expansion, they are seeking a Head of Compliance to lead and build their global compliance function.
The Role
Reporting directly to senior management, the Head of Compliance will be responsible for overseeing all regulatory and compliance matters across the business, ensuring robust governance frameworks are in place. The successful candidate will play a strategic role in maintaining the firm’s reputation for integrity and regulatory excellence.
Key Responsibilities:
* Lead and manage the firm’s compliance framework across the UK and support coordination with the Dubai office.
* Act as the firm’s primary contact with the FCA and other relevant regulatory bodies.
* Develop, implement, and maintain compliance policies and procedures in line with current regulations.
* Provide expert guidance to senior management and front-office teams on regulatory issues.
* Oversee compliance monitoring, AML/financial crime controls, and reporting processes.
* Ensure ongoing staff training and awareness of regulatory developments.
About You
* Proven experience in a senior compliance role within a corporate broker, investment bank, or capital markets firm.
* Strong working knowledge of FCA regulations and relevant European/UK compliance frameworks.
* Excellent communication skills, with the ability to influence at board level.
* Commercially astute and proactive, with the confidence to challenge and advise senior stakeholders.