Head of Compliance

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.