Head of Financial Markets - Conduct & Compliance

Job Description:

Our client, a large financial services organisation, is seeking a Head of Financial Markets - Conduct & Compliance to lead compliance oversight across key financial markets activities.

This senior role is responsible for the development and implementation of conduct and compliance risk management frameworks across financial markets trading activities, treasury operations and traded markets within commercial banking.

The successful candidate will provide strategic compliance advice to senior stakeholders, ensuring regulatory obligations are met while supporting business objectives.

You will lead a specialist compliance team and play a key role in shaping policy, risk appetite and governance across a complex and highly regulated environment.

This is a hybrid role with a minimum of two days per week in the office.

• Extensive experience within the financial services industry, including leadership experience within a Compliance Advisory function.


• Strong technical knowledge of financial markets products, particularly Rates, FX and Commodities, and the associated regulatory environment.


• Proven ability to lead and develop high-performing teams.


• Strong stakeholder management and influencing skills, with the ability to provide clear and practical compliance guidance.


• Experience interpreting complex regulatory requirements and translating them into effective policies and controls.


• Strong analytical and decision-making skills, with the ability to assess risk and support risk-based outcomes.

• Lead and develop a team of compliance professionals supporting financial markets activities.


• Provide compliance advisory support to senior stakeholders across financial markets trading, treasury and traded markets functions.


• Oversee the application of compliance policies, procedures and regulatory requirements across relevant business areas.


• Provide subject matter expertise on financial markets regulations, including market conduct requirements and trading activity oversight.


• Participate in governance forums and committees, delivering clear and effective compliance reporting.


• Lead the design and implementation of conduct and compliance risk policies, including risk appetite and control frameworks.


• Provide technical support on market abuse matters, including advisory input on surveillance alerts and compliance reviews.


• Deliver compliance training and guidance to colleagues across the organisation.


• Monitor regulatory developments and assess the potential impact on the business.


• Support wider compliance initiatives, regulatory projects and business transformation activities.


• Maintain relationships with external stakeholders, including regulators and industry bodies where appropriate.

• A highly competitive salary


• Wider Benefits package

Core-Asset Consulting is an equal opportunities recruiter, and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: (16405)

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

At Core-Asset, we're committed to protecting and respecting your privacy.

Our privacy statement explains when and why we collect personal information about people who engage with our services, how we use it, the conditions under which we may disclose it to others, and how we keep it secure.

We may change this policy from time to time, so please check this policy occasionally to ensure that you're happy with any changes.

By engaging with us (either by applying for a job we're advertising, registering through our website, or getting in touch with our business) you're agreeing to be bound by this policy.

Core-Asset Consulting is committed to protecting the privacy of our candidates, clients and website users.

For further information, please refer to our full Privacy Statement available on our website http://www.core-asset.co.uk/about-core-asset/privacy-statement

Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

INDPERM