Head Of Compliance | London, UK | In-Office

MW Recruitment; London; On-site; GBP 80,000 - 120,000; Full time

Job summary

A leading global brokerage seeks a Head of Compliance to strengthen its compliance framework. The role involves leading regulatory strategy, ensuring adherence to FCA regulations, and overseeing the compliance agenda in a dynamic environment. This is a pivotal leadership position where the candidate will influence business operations significantly.

Benefits

Dynamic work environment

Opportunities for global growth

Critical role in regulatory engagement

Qualifications

• Experience in a retail brokerage or FCA-regulated environment.
• Approved or eligible for SMF16 and SMF17 functions.
• Strong stakeholder management and communication skills.

Responsibilities

• Lead compliance framework to ensure FCA regulatory compliance.
• Act as primary contact for all compliance matters with regulatory bodies.
• Mentor and develop the compliance team.

Skills

Leadership

Compliance Oversight

Regulatory Strategy

KYC

AML

Communication

Education

Extensive compliance experience

Job description

Our client is a fast-growing and highly successful global brokerage, They are seeking a Head of Compliance (SMF16 & SMF17) to lead and strengthen the firm’s compliance framework in a fast-paced, high-performance environment. This is a pivotal leadership role with significant influence over regulatory strategy and business operations.

Key Responsibilities

• Hold SMF16 (Compliance Oversight) and SMF17 (MLRO) responsibilities under the FCA Senior Managers Regime
• Lead and develop the firm’s compliance framework to ensure full FCA regulatory compliance, including KYC, AML, FOS, and TCF requirements
• Act as the primary contact for all compliance matters, including external regulatory bodies and internal stakeholders
• Oversee all aspects of regulatory reporting, monitoring programmes, and policy implementation
• Provide strategic guidance to the executive team on regulatory risks and developments
• Ensure robust governance across retail and institutional operations, with a particular focus on CFDs, oil swaps, derivatives, and CASS
• Lead and mentor the compliance team to drive operational excellence and a strong culture of compliance

Key Requirements

• Extensive compliance experience in a retail brokerage or FCA-regulated environment
• Approved or eligible for SMF16 and SMF17 functions
• Proven leadership and team management skills
• Strong communication and influencing abilities at senior stakeholder level
• Comfortable operating in a high-intensity, 8 am–6 pm office-based role

Why Join?

• Join a global market-leading firm
• Lead the compliance agenda in a dynamic and fast-paced environment
• Play a critical role in regulatory engagement and risk management
• Be part of a highly ambitious team with global growth plans

This is an exceptional opportunity for a senior compliance professional to take ownership of the compliance function within a thriving, globally recognised brokerage.

MW Recruitment is a specialist banking and financial services recruitment company. We were founded in 2010 and have consultants specialising within th...

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