Head of Compliance

Head of Compliance

London Full-Time No home office possible
M

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.

M

Contact Detail:

Marsden Recruiting Team

Head of Compliance
Marsden
M
  • Head of Compliance

    London
    Full-Time

    Application deadline: 2027-03-28

  • M

    Marsden

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