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Our client is a leading specialist brokerage firm with a strong global presence, headquartered in the City of London. As they continue to grow and evolve, they are seeking a highly experienced Global Head of Compliance to lead and enhance their global compliance function. This is a key leadership role requiring in-depth knowledge of broking or prime broking operations.
Key Responsibilities:
* Lead and manage regulatory relationships across global jurisdictions.
* Provide advisory support to all business desks worldwide, working in close collaboration with local Compliance Officers.
* Monitor global regulatory developments and spearhead their implementation across the organisation.
* Oversee the firm’s global Financial Crime compliance framework.
* Manage the global Compliance Monitoring Programme and ensure its effectiveness.
* Develop and supervise global compliance training initiatives.
* Take responsibility for Transaction and Exchange Reporting globally.
* Ensure timely and appropriate responses to regulatory queries, audits, and investigations.
* Review and approve new business proposals from a compliance perspective.
* Lead regulatory impact assessments and implement required changes.
* Oversee the preparation and submission of global regulatory filings and returns.
* Maintain and develop the Compliance Risk Framework, ensuring effective reporting to senior leadership.
* Play a key role in HR-related compliance matters and investigations.
Candidate Profile:
* Proven background in broking or prime broking within a regulated environment.
* Strong, up-to-date knowledge of FCA rules and regulations is essential. Familiarity with global frameworks (NFA, CFTC, MAS, DIFC, AMF) is highly desirable.
* Previous approval under SMF16/SMF17 (CF10/CF11) is required.
* Demonstrated success in managing compliance functions across multiple jurisdictions.
* Experience leading and mentoring global teams in a fast-paced financial services environment.
For further information, please contact Marcus Courtney
Seniority level
* Seniority level
Executive
Employment type
* Employment type
Full-time
Job function
* Job function
Finance
* Industries
Financial Services, Banking, and Insurance Agencies and Brokerages
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