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Job Specification

Exclusive: Head of Compliance & MLRO – CFD Experience Required

£120K - £140K + Bonus + Bens | City
Ref: 3468J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Anti Money Laundering (inc CDD/KYC) / Permanent

Our Client, the London office of an international Financial Services Group, are looking to hire an experienced Head of Compliance & MLRO to oversee the daily compliance activities as well as taking responsibility for AML activities within the business.  Working closely with the Senior Management team, the role will be responsible for developing the compliance policies, procedures and controls over day to day operations.  Managing a small team, duties will include:
• Develop, review and maintain oversight of the Compliance Program and related periodic reporting
• Monitor and manage regulatory change and with other senior managers, continuously monitor and evaluate regulatory and industry changes affecting the Firm (including SMCR)
• Maintain constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports or enquiries are handled appropriately and promptly
• Identify potential areas of regulatory or compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues
• Prepare appropriate reports for the board demonstrating effectiveness of the risk management and regulatory compliance framework
• Design/build and implement a Financial Crime programme to monitor compliance across all relevant parts of the firm and develop and deliver an AML/CTF risk assessments policy and procedure and international sanctions compliance programme
• Ensure independent reviews are completed for high risk transactions and client relationships (at on-boarding and periodic review) in line with policy requirements and international industry best practice.
• Ensure the effective operation and monitoring of customer and transaction screening services, leading on the management and maintenance of outsourced services and service providers.
You should have a number of years experience of working in Compliance and currently hold (or recently have held) the controlled functions (CF10 & 11) with the regulator.  You must also have experience of CFDs (and if possible spreads), with a knowledge of AML & KYC issues as well as trading.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at

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