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. As a Certified B Corporation, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work, we ensure our workplace is one that fosters professional growth and collaboration.
