Head of Compliance - Trading/Broker

MERJE are partnering with an established trading/broking firm in their search for a UK Head of Compliance. This is a fantastic opportunity for someone who enjoys working in a fast-paced, commercial environment and has a proven track record of operating as an SMF16 within a similar business.

Key Responsibilities

• Provision of technical advice, support & regulatory guidance
• Liaise with FCA and other international regulatory bodies, managing audits, reporting, and regulatory submissions
• Maintain and update compliance policies, manuals, conflicts registers, and ensure alignment with changing laws and regulations
• Development & completion of the annual compliance monitoring programme
• Review and sign off of financial promotions
• Review and implementation of compliance policies & procedures
• Completion of due diligence requests
• Completion of ad hoc investigations, reviews and regulator requests for information

Background/Experience

• Operated as an SMF16/17 in a trading or broking environment
• Good interpersonal and relationship building skills including the ability to interact with and influence at all levels of an organization
• Team-oriented and collaborative, with the ability to work independently
• Strong communication and stakeholder management skills

Applicants must be located and eligible to work in the UK without sponsorship.

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