A highly sophisticated buy side trading firm is seeking a Head of Central Compliance to lead and evolve its compliance function across the Americas. This role is suited to a hands on compliance leader who enjoys operating close to the business and building scalable frameworks in technically complex trading environments.
Key Responsibilities
- Lead the firm’s central compliance program across core regulatory areas including AML, sanctions, information barriers, and personal account dealing
- Own compliance governance, policy design, and ongoing supervisory frameworks
- Manage regulatory exams and inquiries, coordinating across internal stakeholders
- Oversee regulatory reporting obligations and annual compliance certifications
- Drive compliance risk assessments, testing programs, and remediation efforts
- Partner closely with trading, operations, technology, and legal teams
- Lead, mentor, and develop a growing compliance team
- Help modernize compliance processes through technology and automation
Requirements
- 10+ years of compliance experience within a buy-side or broker dealer trading environment
- Proven experience managing teams and building compliance programs
- Strong understanding of U.S. regulatory frameworks applicable to proprietary and market making trading firms
- Comfortable working in fast paced, highly technical environments
- Experience with regulatory reporting and supervisory obligations
- A hands on mindset, with the ability to balance strategic oversight and execution
- Strong communication skills and commercial awareness
Why This Role
- Senior leadership role with real influence
- Opportunity to shape compliance infrastructure at scale
- High visibility across the business
Competitive compensation aligned to senior level impact