Head of Compliance - MD

A securities brokerage in London is seeking a highly commercial and experienced Head of Compliance to establish and lead its compliance function. This is an MD level role with direct engagement with the leadership team and represents an excellent opportunity to shape and grow the function from inception.

Key Responsibilities

• Regulatory Oversight: Lead and oversee all aspects of compliance for the UK business, ensuring adherence to applicable laws, regulations, and industry standards, including FCA regulations and other relevant financial services laws.
• Compliance Strategy: Develop, implement, and continuously review the company’s compliance strategy.
• Regulatory Liaison: Serve as the main point of contact for regulatory bodies in the UK, including the FCA, and manage relationships with external auditors and other regulatory authorities.
• Risk assessment: Conduct risk assessments and implement internal controls specific to capital markets activities.
• Training: Lead compliance training and policy development.
• Hold SMF16&17

Requirements

• At least 10 years+ of compliance experience, with relevant in-house experience supporting capital markets/investment banking platforms.
• 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.