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- Tasks: Lead global compliance efforts and manage regulatory relationships across jurisdictions.
- Company: Join a leading specialist brokerage firm with a strong global presence in London.
- Benefits: Enjoy competitive salary, career growth opportunities, and a dynamic work environment.
- Why this job: Be part of a key leadership role that shapes compliance strategy and impacts the financial industry.
- Qualifications: Proven experience in broking, strong FCA knowledge, and leadership skills required.
- Other info: Ideal for those looking to make a significant impact in a fast-paced financial services environment.
The predicted salary is between 72000 - 108000 £ per year.
Location: City of London Industry: Specialist Brokerage The Company: Our client is a leading specialist brokerage firm with a strong global presence, headquartered in the City of London. As they continue to grow and evolve, they are seeking a highly experienced Global Head of Compliance to lead and enhance their global compliance function. This is a key leadership role requiring in-depth knowledge of broking or prime broking operations. Key Responsibilities:
- Lead and manage regulatory relationships across global jurisdictions.
- Provide advisory support to all business desks worldwide, working in close collaboration with local Compliance Officers.
- Monitor global regulatory developments and spearhead their implementation across the organisation.
- Oversee the firm’s global Financial Crime compliance framework.
- Manage the global Compliance Monitoring Programme and ensure its effectiveness.
- Develop and supervise global compliance training initiatives.
- Take responsibility for Transaction and Exchange Reporting globally.
- Ensure timely and appropriate responses to regulatory queries, audits, and investigations.
- Review and approve new business proposals from a compliance perspective.
- Lead regulatory impact assessments and implement required changes.
- Oversee the preparation and submission of global regulatory filings and returns.
- Maintain and develop the Compliance Risk Framework, ensuring effective reporting to senior leadership.
- Play a key role in HR-related compliance matters and investigations.
Candidate Profile:
- Proven background in broking or prime broking within a regulated environment.
- Strong, up-to-date knowledge of FCA rules and regulations is essential. Familiarity with global frameworks (NFA, CFTC, MAS, DIFC, AMF) is highly desirable.
- Previous approval under SMF16/SMF17 (CF10/CF11) is required.
- Demonstrated success in managing compliance functions across multiple jurisdictions.
- Experience leading and mentoring global teams in a fast-paced financial services environment.
For further information, please contact Marcus Courtney. #J-18808-Ljbffr
Global Head of Compliance (London) employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Global Head of Compliance (London)
✨Tip Number 1
Network with professionals in the compliance and brokerage sectors. Attend industry events, webinars, or conferences where you can meet people who work in similar roles. This can help you gain insights into the company culture and expectations.
✨Tip Number 2
Stay updated on the latest regulatory changes and trends in compliance, especially those relevant to broking and prime broking. Being knowledgeable about current issues will allow you to engage in meaningful conversations during interviews.
✨Tip Number 3
Prepare to discuss your experience with compliance frameworks and how you've successfully implemented them in previous roles. Be ready to provide specific examples of how you've managed compliance across different jurisdictions.
✨Tip Number 4
Research the company's global presence and understand their specific compliance challenges. Tailoring your approach to demonstrate how your skills can address these challenges will make you a more attractive candidate.
We think you need these skills to ace Global Head of Compliance (London)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in broking or prime broking, particularly within regulated environments. Emphasise your knowledge of FCA rules and any global frameworks you are familiar with.
Craft a Compelling Cover Letter: In your cover letter, clearly articulate your leadership experience in compliance functions across multiple jurisdictions. Mention specific examples of how you've managed regulatory relationships and compliance training initiatives.
Highlight Relevant Qualifications: Ensure to mention your previous approval under SMF16/SMF17 (CF10/CF11) and any other relevant qualifications that demonstrate your expertise in compliance and financial crime frameworks.
Showcase Your Global Perspective: Discuss your experience working with global teams and how you've adapted compliance strategies to different jurisdictions. This will show your ability to lead in a diverse and fast-paced environment.
How to prepare for a job interview at Compliance Professionals
✨Showcase Your Regulatory Knowledge
Make sure to highlight your understanding of FCA rules and regulations, as well as your familiarity with global frameworks like NFA, CFTC, and MAS. Prepare specific examples of how you've navigated regulatory challenges in the past.
✨Demonstrate Leadership Experience
Since this role involves leading a global compliance function, be ready to discuss your experience in managing teams across different jurisdictions. Share instances where you successfully mentored team members or led compliance initiatives.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about past situations where you had to respond to regulatory queries or audits, and be prepared to explain your thought process and actions.
✨Emphasise Collaboration Skills
This position requires close collaboration with local Compliance Officers and various business desks. Be prepared to discuss how you've effectively worked with cross-functional teams to implement compliance measures and drive organisational change.
