A securities brokerage in London is seeking an experienced Head of Compliance to establish and lead its compliance function. This is a senior role with direct engagement with the leadership team, ensuring the firm meets all regulatory requirements in capital markets.
Key Responsibilities
* Develop and implement a compliance framework tailored to capital markets, ensuring adherence to UK and international regulations.
* Advise senior management on regulatory obligations and evolving capital markets requirements.
* Oversee regulatory reporting and maintain relationships with regulators.
* Conduct risk assessments and implement internal controls specific to capital markets activities.
* Lead compliance training and policy development.
* Hold SMF16&17
Requirements
* At least 10 years+ of compliance experience, with relevant in-house experience in capital markets/investment banking.
* In-depth knowledge of UK financial regulations (FCA, MiFID II, etc.)
* Proven ability to develop compliance programmes and manage regulatory risks in capital markets.
* Strong leadership and communication skills, with experience engaging with regulators and senior stakeholders.
* A legal background is desirable though not essential.
If you are interested please click apply.