Global Head of Compliance

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.