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Head of Compliance & MLRO 

Retail Stockbroking Or PWM Experience Required  

 

£135K - £160K + Bonus & Benefits          

Hybrid/Kent

 

Ref: 4007G


We have been appointed by our Client, a Boutique Retail & Institutional Stockbroker, who are looking to hire a Head of Compliance & MLRO holding SMF16/17.  As part of the senior management team and managing & mentoring a small team of direct reports, you will report to the CEO and Board. Duties will include;

  •  Perform the SMF16 role of the business including remaining current with all relevant regulatory changes that impact the business and ensuring the business and senior management remain abreast of their obligations.
  •  Provide support, guidance and advice to the Board, Managers and colleagues to support and facilitate a strong compliance framework and culture, ensuring open and effective communication and resolution of compliance issues.
  •  Ensure expected standards relating to governance, control framework, minimum standards and compliance strategy are effectively implemented.
  •  Assist with the operational effectiveness of the company's systems and controls that are designed to achieve compliance with CASS, working with the CASS Manager to ensure all controls are in place to meet regulatory requirements.
  •  As the MLRO, oversee the company's anti-money laundering activities, policies and procedures including day-to-day AML investigation and reporting.
  •  Responsible for leading and enhancing the Consumer Duty policy to ensure its ethos is embedded within the company's core culture and strategy. 
  •  Ensure ongoing monitoring and review of controls and key processes are in place throughout the business.
  •  Review and sign off all written material for external use e.g. newsletters, advertising and marketing brochures.
  • Lead, manage, motivate, and develop the Compliance dept, by coaching and training to ensure performance standards are maintained.
  •  Provide MI reports for the Directors on Risk and compliance issues for the quarterly Board Meetings.

The successful candidate must have gained significant senior retail compliance experience probably from a similar stockbroker or wealth management firm.  While a comprehensive understanding of FCA and other appropriate regulations governing the conduct of retail stock broking including Consumer Duty rules is essential, as important will be a detailed understanding of AML and Financial Crime 

 

 

This is a fantastic opportunity for a confident and polished individual with strong interpersonal skills to join a successful and well-established Stockbroker in a very senior, visible, and influential role. The role will be part of the senior Management Team and will have a significant influence on the business's growth and direction.  The CEO is looking for someone who can be the internal regulatory and control leader and who has the skills and gravitas to influence at all levels including external stakeholders and the Regulators. NB the Role is 3d pw in their Kent office and 2d pw WFH..

If you feel you have the skills, experience, and drive to take on this rare opportunity, then please send your details to Gary Collins at gary@symescollins.com (Including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Apply Here

 

 

Symes Collins is acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through applying, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.