Global 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/prime broking experience.

THE RESPONSIBILITIES:

1. Management of global regulatory relationships.
2. Advisory coverage of all business desks globally in conjunction with the local Compliance Officers.
3. Oversight of global regulatory developments and driving their implementation.
4. Oversight of Financial Crime risk globally.
5. Oversight of the global Compliance Monitoring Programme.
6. Oversight of Compliance training globally.
7. Oversight of Transaction and Exchange Reporting.
8. Ensuring Regulatory and Exchange queries, audits and investigations are completed in an appropriate manner.
9. Approval of new business initiatives.
10. Assessing regulatory developments and leading implementation as required.
11. Oversight and submission (where applicable) of global regulatory returns.
12. Ownership of the overarching Compliance Risk Framework to facilitate appropriate management of compliance risk and reporting to senior management.
13. Oversight and execution of the compliance training programme to staff.
14. Assistance in management of HR matters.

EXPERIENCE REQUIRED:

1. Demonstrated broking/prime broking experience.
2. Detailed and current knowledge of the FCA rules & regulation legislation essential, working knowledge of NFA / CFTC / MAS / DIFC / AMF rules advantageous.
3. Prior experience of holding the CSMF 16/ SMF 17 (CF10/CF11) controlled functions.
4. Managed a global team previously.

For further information please contact Natalie Antat.