Chief Compliance Officer
Our client, a small but internationally active global markets bank, is seeking to appoint a Chief Compliance Officer (CCO) to lead and further enhance its global Compliance function. This is a senior leadership role with broad responsibility across the firm's capital markets activities, requiring close partnership with executive management, the Board, and global regulators.
The successful candidate will play a critical role in shaping and executing the firm's Compliance strategy, ensuring the business continues to operate within its risk appetite while supporting sustainable growth across its global markets platform.
Key Responsibilities
- Serve as the firm's senior Compliance executive, with overall responsibility for the design, implementation, and ongoing oversight of the global Compliance framework.
- Provide strategic Compliance leadership across Global Markets businesses, including Sales & Trading, structured products, and related support functions.
- Act as a trusted advisor to the CEO, senior management, and the Board on regulatory matters, emerging risks, and regulatory change.
- Own and maintain relationships with global regulators, including U.S. and international regulatory bodies, and lead regulatory examinations and inquiries.
- Oversee the development and maintenance of Compliance policies, procedures, and controls aligned with applicable securities laws and regulations.
- Ensure effective Compliance risk assessments, monitoring, testing, and issue management processes are in place and operating effectively.
- Lead, develop, and mentor a lean but high‑impact global Compliance team, fostering a strong culture of integrity and accountability.
- Partner closely with Legal, Risk, Audit, and the business to drive a pragmatic, solutions‑oriented approach to Compliance.
Candidate Profile
- Significant senior‑level Compliance experience within a global markets, capital markets, or broker‑dealer environment.
- Deep knowledge of U.S. securities regulation (e.g., SEC, FINRA) with exposure to international regulatory frameworks preferred.
- Proven experience acting as a senior regulatory contact and managing regulatory examinations and complex regulatory matters.
- Demonstrated ability to operate effectively in a smaller, entrepreneurial banking environment, balancing hands‑on execution with strategic oversight.
- Strong leadership presence with the ability to influence at executive and Board level.
- Excellent communication skills, with the confidence to challenge constructively and provide clear, commercial advice.
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