Description
We’re looking for a highly experienced and strategic Head of Global Capital Markets Compliance to lead our efforts in ensuring full regulatory adherence across our rapidly expanding Capital Markets product offerings. This role is pivotal in navigating the complex global regulatory landscape for spot, futures, options, and other derivatives, ensuring our operations meet the highest standards of compliance.
What you’ll do:
- Build, lead, and mentor a global team of Capital Markets compliance professionals.
- Develop, implement, and maintain a robust global Capital Markets compliance program, including policies, procedures, and internal controls, aligned with applicable laws, regulations, and industry best practices.
- Provide expert advice and guidance to business units on all Capital Markets-related regulatory matters, ensuring compliance with relevant securities laws, derivatives regulations, and other applicable financial services rules across various jurisdictions (e.g., US, UK, EU, APAC).
- Oversee the implementation and effectiveness of compliance controls for Capital Markets activities, including trading, market surveillance, anti-manipulation, best execution, and order handling.
- Conduct regular risk assessments to identify and mitigate compliance risks associated with Capital Markets products and services.
- Collaborate closely with Legal, Risk, Product, Engineering, and other internal stakeholders to integrate compliance requirements into new product development and business initiatives.
- Manage regulatory examinations, inquiries, and audits related to Capital Markets activities, serving as the primary point of contact for relevant regulators.
- Develop and deliver comprehensive compliance training programs for Capital Markets personnel.
- Stay abreast of evolving regulatory landscapes and industry trends related to Capital Markets, proactively identifying potential impacts and ensuring the compliance program remains current and effective.
- Prepare and present regular reports on Capital Markets compliance activities, risks, and issues to senior management and relevant committees.
Who you are:
- Minimum of 12 years of experience in Capital Markets compliance, with a significant portion in a leadership role within a regulated financial institution, broker-dealer, or crypto exchange.
- Deep expertise in global Capital Markets regulations, including securities laws (e.g., Securities Act, Exchange Act), derivatives regulations (e.g., CEA), market abuse regulations (e.g., MAR), and other relevant financial services rules in major jurisdictions (US, UK, EU, APAC).
- Proven track record of building, leading, and mentoring high-performing compliance teams.
- Strong understanding of Capital Markets products and services, including spot, futures, options, swaps, and other derivatives.
- Experience with regulatory interactions, examinations, and inquiries.
- Excellent communication, interpersonal, and presentation skills, with the ability to effectively engage with diverse stakeholders, including senior management, regulators, and business teams.
- Strategic thinker with strong analytical and problem-solving abilities.
- Ability to thrive in a fast-paced, dynamic, and evolving regulatory environment.
- Relevant professional certifications (e.g., Series 7, 24, 63, 65/66, CFTC NFA registration) are a plus.
- Bachelor’s degree in Law, Finance, Business, or a related field; advanced degree (e.g., JD, MBA) preferred.
