Head Of Compliance

Our client, a successful brokerage based in London, is seeking an experienced Head of Compliance to lead their compliance function within a dynamic financial services environment. This is a key leadership role, reporting to the Board, with responsibility for ensuring full adherence to UK and international regulatory requirements.

The successful candidate will:

• Develop, implement, and maintain a robust compliance framework aligned with FCA, PRA, and international regulatory standards.
• Act as the primary contact for regulatory bodies, managing audits, responding to regulatory changes, and ensuring all reporting obligations are met.
• Lead the organisation’s risk management strategy, conducting regular assessments and implementing controls to mitigate financial, operational, and regulatory risks.
• Manage and mentor a high-performing compliance and risk team, ensuring the function remains proactive and aligned with business objectives.
• Provide strategic guidance to senior leadership and the Board on regulatory developments, potential risks, and necessary compliance actions.
• Conduct internal audits and risk assessments, identifying weaknesses and driving improvements across business operations.
• Design and deliver compliance and risk training programs that embed a culture of responsibility and best practice across the organisation.
• Prepare and present compliance and risk reports to senior management and the Board, ensuring transparency and accountability in decision-making.

Candidates must:

• Have held SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions.
• Have extensive experience in a senior compliance and risk role within financial services.
• Possess strong knowledge of FCA, PRA, AML, KYC, GDPR, and other relevant regulatory frameworks.
• Demonstrate proven leadership skills, with experience managing and developing teams.
• Have excellent communication and stakeholder management abilities, with a track record of influencing at a senior level.
• Show strong analytical and strategic thinking skills, with the ability to identify and mitigate risks effectively.
• Hold relevant professional qualifications such as an ICA Diploma in Compliance or CFA (highly desirable).

This is an exciting opportunity for a highly skilled compliance professional to take on a leadership role in a successful and growing organisation.