Head of Regulatory Compliance

About the Role

Leadership & Compliance Governance

• Lead and manage the Regulatory Compliance activities direction, providing strategic direction and oversight across all compliance activities.
• Build, mentor, and develop a high-performing team of compliance professionals, fostering collaboration, accountability, and continuous professional development.
• Establish team objectives, performance standards, and resource allocation to ensure efficient delivery of compliance initiatives.
• Act as a trusted advisor to senior management on regulatory developments, emerging risks, and compliance strategy.

Global Regulatory Compliance Framework

• Design, implement, and continuously enhance the firm's global compliance framework across all operating jurisdictions.
• Monitor regulatory developments and assess their impact on the business, ensuring timely implementation of required changes.
• Develop and maintain compliance policies, procedures, and controls aligned with applicable regulatory requirements and industry best practices.
• Ensure consistency between global compliance standards and local regulatory obligations.

Regulatory Oversight & Business Advisory

• Provide regulatory guidance across key business areas, including:
• Marketing and Financial Promotions (including cross-border activities);
• Introducing Broker (IB) and Partnership Programs;
• Product Governance and Technology Compliance;
• New Business Initiatives and Market Expansion.
• Support business growth by providing pragmatic, risk-based compliance solutions.
• Review and approve regulatory aspects of products, services, campaigns, and strategic initiatives.

Regional Compliance Coordination

• Serve as the primary liaison between the centralized compliance function and Regional Compliance Officers.
• Ensure effective coordination and alignment of compliance activities across all jurisdictions.
• Conduct regular reviews of regional compliance programs and provide guidance on regulatory expectations and best practices.
• Promote a consistent compliance culture across the organization globally.

Regulatory Reporting & Regulatory Relationships

• Ensure accurate and timely regulatory reporting and submissions across all licensed entities.
• Act as the primary point of contact for regulators, external auditors, and other supervisory authorities on compliance-related matters.
• Manage regulatory inspections, audits, inquiries, and ongoing supervisory engagements.
• Provide regular reporting and updates to executive management on regulatory risks, compliance performance, and key developments.

Cross-Functional Collaboration

• Partner closely with Legal, Risk, Operations, Product, Technology, Sales, and other business functions to embed compliance into day-to-day operations.
• Support compliance with legal substance requirements and other corporate governance obligations.
• Contribute to strategic projects, regulatory change initiatives, and business transformation programs.

Education & Professional Qualifications

• Bachelor's degree or higher in Law, Finance, Business, Economics, or a related field.
• Professional compliance or regulatory qualifications are highly desirable (ICA, CAMS, CRCM, or equivalent).

Experience

• Minimum 7–10 years of experience in regulatory compliance within financial services.
• Proven leadership experience managing and developing compliance teams (team minimum of 5 people).
• Strong experience within CFD brokerage, investment services, fintech, online trading, or broader financial markets is highly preferred.
• Demonstrated experience working across multi-jurisdictional regulatory environments.
• Experience interacting directly with regulators, auditors, and senior stakeholders.

Knowledge & Competencies

• Deep understanding of financial services regulations, compliance governance, and regulatory risk management.
• Strong knowledge of cross-border regulatory requirements, financial promotions, client onboarding, product governance, and conduct risk.
• Excellent analytical skills with the ability to interpret complex regulations and translate them into practical business solutions.
• Strong stakeholder management and influencing skills, including experience working with executive leadership.
• Ability to balance regulatory obligations with commercial objectives in a fast-paced environment.

Language Requirements

• Fluent written and spoken English is essential.
• Additional languages are considered an advantage.

What We Offer

• Opportunity to lead and shape a regulatory compliance team.
• Direct exposure to executive leadership and strategic decision-making.
• International and multi-jurisdictional regulatory environment.
• Dynamic, fast-growing business with significant opportunities for professional growth and impact.

Additional Information

• Occasional international travel may be required.
• The role requires the highest standards of integrity, professionalism, and confidentiality.