Head of Compliance

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.

• 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