Head of Compliance

Key Responsibilities

• Hold SMF16 (Compliance Oversight) and SMF17 (MLRO) responsibilities under the FCA Senior Managers Regime
• Lead and develop the firm’s compliance framework to ensure full FCA regulatory compliance, including KYC, AML, FOS, and TCF requirements
• Act as the primary contact for all compliance matters, including external regulatory bodies and internal stakeholders
• Oversee all aspects of regulatory reporting, monitoring programmes, and policy implementation
• Provide strategic guidance to the executive team on regulatory risks and developments
• Ensure robust governance across retail and institutional operations, with a particular focus on CFDs, oil swaps, derivatives, and CASS
• Lead and mentor the compliance team to drive operational excellence and a strong culture of compliance

Key Requirements

• Extensive compliance experience in a retail brokerage or FCA-regulated environment
• Approved or eligible for SMF16 and SMF17 functions
• Proven leadership and team management skills
• Strong communication and influencing abilities at senior stakeholder level
• Comfortable operating in a high-intensity, 8 am–6 pm office-based role

Why Join?

• Join a global  market-leading firm 
• Lead the compliance agenda in a dynamic and fast-paced environment
• Play a critical role in regulatory engagement and risk management
• Be part of a highly ambitious team with global growth plans

This is an exceptional opportunity for a senior compliance professional to take ownership of the compliance function within a thriving, globally recognised brokerage.