About EquiLend

The EquiLend Group has offices in Boston, Dublin, Hong Kong, India, London, New Jersey, New York, Tokyo, and Toronto.

Global Head of Compliance Role

We are seeking an experienced Global Head of Compliance to be based in our London, Dublin or New York offices. The role will involve managing a strategic global function, taking ownership to ensure EquiLend is operating in full compliance with our global regulatory obligations, professional and internal policy standards and maintains the culture of compliance at EquiLend to support the identification, escalation, and prompt mitigation of compliance risks.

The role holder will be responsible for the management of the delivery of the annual compliance and risk management programme, in doing so, ensuring that the global compliance team provide timely compliance advice, conduct proactive oversight, monitoring and control effectiveness, provision of training to staff, and assist with new business initiatives (new markets, new products, change in processes, etc.).

Global Head of Compliance Responsibilities

• Acting as the main point of contact for regulatory and compliance matters relating to our regulated products business; including operating multilateral trading facilities, organized trading facilities, and alternative trading systems.
• Maintaining the culture of compliance and supporting the identification, escalation, and prompt mitigation of compliance risks while also ensuring documents and regulatory adherences are in place as part of the client onboarding process
• Providing guidance and advice to Management, Board Members, including Independent Non-Executive Directors, and the General Counsel on regulatory matters.
• Preparing and delivering Compliance regulatory updates for the Board and Committee Meetings, or directly to the Board of Directors as required.
• Responsibility for support, guidance and compliance on global domestic financial crime & AML laws, and regulations
• Signing off client due diligence files
• Responsibility for developing, implementing and maintaining the Compliance programme for our global regulated entities, including periodic risk assessment and MI reporting
• Being the lead and managing the regulatory relationships with the CBI, FCA, FINRA, SEC, IIROC, OSC, ASIC, SFC (HK) and any other regulators that may be required.
• Ensuring regulatory obligations, such as standard, frequent and ad hoc regulatory filings and reporting to global regulators, are made in a correct and timely fashion.
• Developing, maintaining and strengthening the relationship between Compliance and the business by providing timely and effective advice and working closely with the business to develop pragmatic solutions/opportunities while remaining cognizant of regulatory rules, obligations and expectations.
• Develop and implement procedures to enhance business productivity and efficiency, and manage change. Responsible for managing initiatives of significant scope and scale.
• Advancing promptly any significant regulatory or operational risks identified to the Senior Management Team, and Board of Directors as appropriate..
• Assisting and supporting the global Compliance team on regulatory initiatives, particularly with respect to identifying, assessing and implementing regulatory change.
• Developing, maintaining and updating relevant regulatory policies, processes and procedures. Advising the business on all aspects of these policies, processes and procedures.
• Leading all aspects of the planning and preparation of regulatory, internal and external audits, reviewing and approving documentation gathered to respond to audit and regulatory enquiries.

Head of Compliance Requirements

• A minimum of 5 years’ experience in a senior compliance role with global oversight
• Educated to bachelor’s degree level, or have the equivalent experience or qualifications in a relevant discipline
• A minimum of 2-3 years related work experience within a financial institution
• Able to work in a collaborate manner with team personnel and other staff within the Firm and across the group
• Strong analytical, research and reporting skills
• Judgment to balance commercial and compliance risks to achieve positive outcomes
• Knowledge of MiFID and ATS regulated trading venues / platforms or securities lending is an advantage

• Detailed knowledge and understanding of regulated activity, in particular UK, US, CAN and EU regulatory framework.
• Significant Financial Crime knowledge and experience, especially the CBI, FCA, SEC & FINRA, IIROC & OSC regimes, AML and Counter Terrorist Finance.
• Knowledge of regulations / market practice in other jurisdictions, such as Asia (HK, Japan, Singapore), would be desirable, for example, in relation to outsourcing, market abuse, conduct, etc.

Other Desirable Skills & Experience

• Project Management and Change Management experience
• Program and Team Management experience
• Must be collaborative/curious/driven and able to drive lasting change
• Highly motivated self-starter who excels in a results driven and able to work on multiple tasks with limited supervision
• Excellent attention to detail
• Effective communications skills, relationship/business partnering with employees across all levels of the organization (including at board level)
• Enjoys working in a fast paced environment with rapidly changing demands and priorities; solid work ethic and willingness to take on new initiatives