Head of Compliance Role Overview
We are seeking an experienced compliance professional to lead our Compliance Function, ensuring full regulatory compliance. The role will oversee market abuse surveillance, anti-money laundering (AML), counter-terrorist financing (CTF), sanctions, know your customer (KYC), client onboarding, and engagement with regulators.
Key Responsibilities:
1. Lead the Compliance Function to ensure regulatory compliance.
2. Oversee market abuse surveillance and AML/CTF/sanctions processes.
3. Manage KYC and client onboarding activities.
4. Assess and determine Suspicious Transaction Reports.
5. Communicate and engage with relevant regulators.
6. Ensure organisation meets all regulatory obligations in applicable jurisdictions.
7. Provide accurate compliance advice to business units and respond to queries.
8. Contribute to projects and new initiatives, considering reputational risks.
9. Deliver training on regulatory risks and changes.
10. Execute risk-based compliance monitoring, including risk assessments, business reviews, thematic reviews, and testing.
11. Maintain surveillance, logging, escalation, and resolution of issues.
12. Core compliance processes include market conduct, gifts and entertainment, regulatory liaison, reporting, licensing, employee trading, conflicts of interest, and breach logs.
13. Draft and maintain compliance frameworks, policies, plans, and procedures.
14. Stay up-to-date with market trends, regulatory changes, and technological developments.
15. Produce management reports for internal committees and the Board.
16. Mentor junior compliance officers.
Requirements:
* 10+ years' experience in compliance within a regulated environment, preferably in equities/CDFs.
* Experience with systematic internalisers, multilateral trading facilities (MTFs), exchanges, or algorithmic trading tools in a highly regulated setting.
* Strong interest in financial markets and knowledge of the brokerage industry.
* Comprehensive understanding of market practices and regulatory requirements.
* Minimum 2:1 degree in Business, Law, Economics, or related field.
* Excellent written and verbal communication skills.
* Ability to work under pressure with adaptability and a results-driven mindset.
* High attention to detail, accuracy, and proactive problem-solving skills.
What's On Offer:
* A dynamic, collaborative, and high-performing work environment.
* Autonomy to lead your function and manage your team.
* Competitive remuneration and benefits package, including health insurance, pension, 26 days' holiday, and annual bonuses.