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Consultant specialising in Regulatory Compliance & Financial Crime Recruitment | B-Corp Certified | Coopman Search & Selection
Were partnering with a multi-asset Prime Broker, as they look to bring in a new Head of Compliance to the UK business.
Job Description
The role would lead the UK Compliance function, assuming the SMF16 responsibility and report directly to the CEO/COO. You will oversee the firm’s compliance framework, identifying regulatory risks and ensuring the implementation of a robust control structure and compliance program.
Key Responsibilities:
* Develop and maintain a compliance framework that enables a proactive culture for both the internal regulatory requirements, as well as those of the firms clients
* Provide ongoing guidance to management and employees on the applicability of regulatory requirements within the firm’s activities
* Conduct periodic reviews across the business and support units to assess compliance and recommend corrective actions where needed
* Act as the main point of contact with the FCA and other regulatory bodies, ensuring accurate regulatory permissions, filings, and staff registrations are up to date
* Implement real-time monitoring systems to detect and mitigate potential compliance risks before they escalate, ensuring quick action is taken when necessary
* Ensure the firm’s SMCR and conduct framework remain appropriate and relevant to the firm’s evolving activities
Experience Required:
* 10+ years experience and currently holding or have recently held the SMF16 in a Prime Brokerage/Trading environment, with exposure to institutional clients
* In-depth understanding of the FCA regulations, including SMCR and CASS
* Additional knowledge of international financial regulations applicable to global financial hubs beneficial
* Knowledge of financial crime prevention measures and the ability to oversee their implementation within the firm
* Proven experience in developing and managing compliance monitoring programs and reporting to senior management and regulators
* Strong ability to identify and manage conflicts of interest, as well as experience in providing ongoing training the business in regulatory requirements
You will be joining the firm at an exciting period of growth, so you can shape the future of the firms compliance programme. If youre interested in finding out more, please reach out to shane.cassidy@coopman.uk.
Coopman Search and Selection specialises in compliance, risk, accounting, and finance recruitment. We provide tailored retained, contingent, and interim solutions to meet the unique needs of our clients and candidates. As a proud Certified B Corporation, we are committed to sustainable growth, balancing purpose and profit while prioritising positive social and environmental impacts for all stakeholders.
Seniority level
* Director
Employment type
* Full-time
Job function
* Other
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