Head of Compliance, Broking

The Company is seeking a Head of Compliance for its UK regulated entity. This senior leadership role is pivotal in taking ownership of the UK regulatory framework, acting as the primary contact with the FCA, and leading a key regulatory remediation program. The successful candidate will be responsible for maintaining and enhancing the UK compliance framework, providing technical leadership across CASS, and working closely with senior stakeholders to support future regulatory permissions and business growth. The role demands a seasoned compliance professional with a strong technical background in the FCA Handbook and CASS, particularly in custody arrangements and reporting requirements. Applicants for the Head of Compliance position at the company should have current or previous SMF16 and SMF17 approval within an FCA-regulated investment firm, brokerage, or similar financial services business. Experience in an institutional or professional-client brokerage or trading environment is highly valued. The ideal candidate will have a proven track record in managing FCA supervisory relationships, regulatory remediation, and periods of enhanced regulatory oversight. Excellent communication skills, the ability to present to Boards and senior leadership, and a pragmatic, commercially minded approach to compliance are essential. The role is suited to an individual who thrives in a high-accountability, entrepreneurial environment and is eager to make a significant impact on the development of a growing UK regulated business.