Global Head of Compliance

Compliance Professionals; London; On-site; GBP 140,000 - 150,000; Full time

Job summary

A leading specialist brokerage firm in London is seeking a Global Head of Compliance to enhance their compliance function. This key leadership role requires in-depth knowledge of broking operations and managing regulatory relationships globally. The successful candidate will oversee compliance frameworks, lead training initiatives, and ensure adherence to regulations across jurisdictions.

Qualifications

• Proven background in broking or prime broking within a regulated environment.
• Strong knowledge of FCA rules and familiarity with global frameworks.
• Experience leading and mentoring global teams.

Responsibilities

• Lead and manage regulatory relationships across global jurisdictions.
• Oversee the firm’s global Financial Crime compliance framework.
• Ensure timely responses to regulatory queries and audits.

Skills

Regulatory Relationships

Compliance Management

Financial Crime Compliance

Global Compliance Training

Education

Experience in broking or prime broking

Knowledge of FCA rules and regulations

Approval under SMF16/SMF17 (CF10/CF11)

Job description

1 week ago Be among the first 25 applicants

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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