Head of UK Compliance

Our client is a global multi-asset broker, trading products including FX, Commodities, ETFs, and Cryptocurrencies. They are looking for a UK-based Head of Compliance, who can also act as the MLRO for the business. This will be a key leadership position, working alongside the C-suite of the UK business and will be pivotal in ensuring the firm’s compliance with all applicable regulations.

Key Responsibilities:

• Keep up to date with FCA regulations and guidelines relevant to brokerage firms, ensuring full regulatory compliance.
• Be the primary point of contact for regulatory audits and inquiries, maintaining strong relationships with regulatory bodies.
• Oversee and enhance the firm’s policies and procedures, ensuring they remain current and effective.
• Develop and implement compliance frameworks to ensure regulatory risk is mitigated.
• Prepare and submit accurate and timely regulatory reports and filings.
• Continue to collaborate with the global compliance team to align practices and share best strategies.

Experience, Skills and Qualifications:

• Experience in holding SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) responsibilities.
• Experience leading compliance functions within the financial services industry, preferably in a brokerage setting.
• Deep knowledge of FCA regulations around derivatives and trading products, such as CFDs and FX.
• Exceptional communication and interpersonal skills, with the ability to effectively interact with internal teams and regulatory authorities.
• Relevant certifications such as a CISI Diploma in Investment Compliance or an ICA Diploma in Anti Financial Crime would be desirable and advantageous.

You will be joining a thriving business where you can shape the future of the firm’s existing compliance programme. If you’re interested in finding out more, please reach out to shane.cassidy@coopman.uk.

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