Job Description
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.
EXPERIENCE REQUIRED:
* 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
For further information please contact Natalie Antat