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Head of Compliance Officer & MLRO – Broking (Traditional or Online) Experience Required

£90K - £100K + Bonus + Bens | London
Ref: 3432G

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

 
 
Our Client, a ground breaking modern brokerage house (offering trading traditional securities as well as cryptocurrencies), are looking to appoint a new Head of Compliance & MLRO.  Taking responsibility for all Compliance & AML matters and managing a small team reporting directly to the CEO, duties will include:
 
• Act as the CF10 and CF11 for the business.
• Work with the business to develop compliance procedures and controls, and provide commercially-orientated compliance advice;
• Ongoing close review of all legislative, regulatory and corporate governance developments or changes that might affect the company and its operations.
• Ensure compliance with Data Protection legislation;
• Development, management and execution of the compliance monitoring programme;
• Development and management of the risk management framework;
• Sign off on financial promotions
• Responsible for regulatory reporting, i.e. GABRIEL reports.
• Overseeing the CDD/KYC/AML/CTF/ABC policies and procedures and act as Money Laundering Reporting Officer (MLRO);
• Opportunities available to be involved in other aspects of the business as it grows.
 
The successful candidate is likely to have gained at least five years experience within the compliance function of another regulated financial services business, preferably traditional or online broking.  While you will need strong knowledge of the FCA Rules including the Money Laundering section of the System and Controls Sourcebook, JMLSG and other relevant financial crime legislation, more important will be your drive to work with this exciting entrepreneurial brokerage and to grow with them.
 
This is an excellent opportunity to join a very entrepreneurial business at an exciting time of their growth and development in a very visible and responsible role. Should you feel you have the experience and above average communication and technical skills to be success in this role, then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com
 
Symes Collins – Part of the Compliance Recruitment Solutions Group
 

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