Head of Compliance & AML

ABOUT THE ROLE

As Head of Compliance & AML at Thndr Securities Brokerage, you will lead the firm’s compliance AML and risk management function, ensuring the highest standards of integrity and regulatory adherence under the supervision of the Financial Regulatory Authority (FRA).

You will oversee a team of compliance and risk officers, serve as the primary point of contact with regulators, and ensure that Thndr’s brokerage operations run safely, ethically, and in full compliance with local and group standards.

This role reports directly to the Chief Executive Officer and works closely with the Policy, Legal and Compliance, Risk & Fraud (CRF) teams across Thndr Group to ensure seamless alignment and oversight across all regulatory fronts.

What You’ll Do

- Lead and develop a high-performing team of compliance and risk professionals (minimum four direct reports) responsible for daily compliance operations and monitoring.

- Act as the primary liaison with the Financial Regulatory Authority (FRA), maintaining strong and transparent relationships with regulators.

- Ensure regulatory compliance across all brokerage activities, including onboarding, trading, client communications, reporting, and recordkeeping.

- Oversee regulatory reporting and ensure timely, accurate submissions of all required filings, renewals, and notifications.

- Prepare and brief internal teams ahead of any regulatory inspections or reviews, ensuring full readiness and documentation accuracy.

- Monitor and interpret regulatory changes and lead internal alignment to maintain compliance with evolving laws, FRA circulars, and industry standards.

- Collaborate with Policy and CRF teams to identify, close, and prevent compliance gaps while ensuring consistency with group-wide frameworks.

- Implement robust monitoring and surveillance programs to detect, escalate, and address potential breaches or suspicious activity.

- Supervise AML/CFT obligations and ensure that policies, procedur...