Our client, a successful brokerage based in London, is seeking an experienced Head of Compliance to lead their compliance function within a dynamic financial services environment. This is a key leadership role, reporting to the Board, with responsibility for ensuring full adherence to UK and international regulatory requirements.
The Role
The successful candidate will:
1. Develop, implement, and maintain a robust compliance framework aligned with FCA, PRA, and international regulatory standards.
2. Act as the primary contact for regulatory bodies, managing audits, responding to regulatory changes, and ensuring all reporting obligations are met.
3. Lead the organisation’s risk management strategy, conducting regular assessments and implementing controls to mitigate financial, operational, and regulatory risks.
4. Manage and mentor a high-performing compliance and risk team, ensuring the function remains proactive and aligned with business objectives.
5. Provide strategic guidance to senior leadership and the Board on regulatory developments, potential risks, and necessary compliance actions.
6. Conduct internal audits and risk assessments, identifying weaknesses and driving improvements across business operations.
7. Design and deliver compliance and risk training programs that embed a culture of responsibility and best practice across the organisation.
8. Prepare and pre...