Accessibility Links

Chief Compliance Officer

  • Job type: Permanent
  • Location: London
  • Salary: £100000 - £115000 per annum
  • Job reference: Compliance Lead
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 07/02/2018
Description

A leading US Broker-Dealer is looking for a new Chief Compliance Officer to lead both the Legal & Compliance function. The role will report directly into the board as well be required to liaise regularly with the Head of Trading and Head of Operations.

The role responsibilities will involve ensuring the groups continued compliance with all current financial regulations as well as briefing and instructing senior management with upcoming regulatory reforms. The role will have a management aspect with all other members reporting into the successful candidates through direct or dotted reporting lines.

With the firm having offices globally and the focus being on Emerging markets candidates will have a global remit, with members of the function placed in regional offices across European, South American and Asian continents and so prior international experience is a huge bonus.

Key Requirements
  • Direct Broker-dealer experience
  • J.D (Juris Doctor) – fully qualified lawyer
  • 5+ years experience within a related compliance function
  • Knowledge of Emerging Markets / Collateral Debt / Fixed Income (proven experience is a bonus)
  • Series 7 & 24
  • Experience liaising with FINRA / SEC
  • Strong managerial ability
Similar jobs
Head of Alt. Fund Services (Boston)
  • Job type: Permanent
  • Location: Boston
  • Salary: Competitive
  • Description A top privately-held financial institution is seeking a Head of Alternatives for their award-winning, high quality Fund Services group based in Boston, MA. This professional...
Compliance Manager | Leading Global FinTech Firm | Singapore
  • Job type: Permanent
  • Location: Singapore
  • Salary: $120000 - $200000 per annum
  • Description We are recruiting for a Compliance Manager for a Leading Global FinTech Firm be based in Singapore. Our client is one of the most valuable...
Associate Director/Director Compliance at Tier 1 Bank
  • Job type: Permanent
  • Location: Hong Kong Island
  • Salary: Competitive
  • Description Keen to speak with excellent candidates who are interested in working for a Tier 1 International bank. Reap the benefits of an attractive salary and...
VP, Compliance – Tier 1 International Asset Management Firm
  • Job type: Permanent
  • Location: Central Hong Kong Island
  • Salary: Competitive
  • Description VP, Compliance – Tier 1 International Asset Management Firm (1bn AUM) Keen to speak to exceptional candidates looking to join a tier 1 international asset...
Credit Risk Analyst
  • Job type: Permanent
  • Location: Dallas
  • Salary: Competitive
  • Description One of the world’s premier financial institutions is seeking motivated individuals with a proven track record in credit risk analysis. Located in Dallas, Texas there -...