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.
Contact Detail:
Marsden Recruiting Team