Head of Central Compliance

Our successful and well-established Capital Markets client is looking to hire a senior Compliance professional to lead their central compliance team, focusing on Monitoring, Surveillance, and Control Room functions.

Key Responsibilities:

• Develop and implement the Compliance Monitoring Plan.
• Conduct market abuse risk assessments and manage related actions.
• Oversee trade and communication surveillance systems.
• Handle regulatory reporting, including Suspicious Transaction Reports (STORs).
• Monitor regulatory changes and ensure compliance with internal policies.
• Manage relationships with third-party vendors and software providers.
• Provide compliance training and ensure policies are up-to-date.
• Lead, mentor, and develop the Central Compliance team.
• Collaborate with key stakeholders and senior management on compliance issues.

Requirements:

• Significant compliance experience, especially in market surveillance, risk assessment, and regulatory reporting.
• Strong knowledge of market abuse regulations and FCA Principles for Business.
• Proven leadership skills with experience in managing high-performing teams.
• Expertise in using and enhancing surveillance software for trade and electronic communications.
• Excellent communication and stakeholder management skills.
• Experience in private side/control room functions and case management.
• Degree-level education; professional compliance qualification preferred.
• Familiarity with GDPR and internal data protection policies.

Please contact allister@raw-search.com or APPLY now for more information.