Global Head of Compliance

Compliance Professionals; London; On-site; GBP 100,000 - 150,000; Full time

Job summary

Un cabinet de courtage spécialisé de premier plan à Londres recherche un 'Global Head of Compliance' pour superviser et renforcer sa fonction de conformité mondiale. Ce rôle clé exige une expertise approfondie en courtage et une solide connaissance des réglementations, tout en offrant la possibilité d'influencer les opérations à l'échelle mondiale.

Qualifications

• Antécédents avérés dans le courtage ou le premier courtage dans un environnement réglementé.
• Connaissance approfondie des règles FCA et des cadres mondiaux.
• Approbation préalable sous SMF16/SMF17 (CF10/CF11) requise.

Responsibilities

• Diriger et gérer les relations réglementaires à l'échelle mondiale.
• Surveiller les développements réglementaires mondiaux et leur mise en œuvre.
• Gérer le programme de conformité mondiale.

Skills

Leadership

Gestion des risques

Conformité réglementaire

Communication

Education

Diplôme pertinent dans les services financiers

Job description

Location: City of London Industry: Specialist Brokerage The Company: 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.