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Head of Compliance & MLRO 

Wealth Management Experience Required  

£120K + Bonus & Benefits          

Hybrid (City of London)

Ref: 4014G


We have been appointed by our Client, a leading Independent Broking Group, who are looking to hire a Head of Compliance & MLRO holding SMF16/17.  Reporting 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.
  • As the MLRO, oversee the company's anti-money laundering activities, policies and procedures including day to day AML investigation and reporting.
  • Participation in entity-wide processes providing financial crime compliance representation and signoffs.
  • Ensure ongoing monitoring and review of controls and key processes are in place throughout the business.
  • Provide reports for the Directors on Risk & Compliance issues  

 

The successful candidate must have gained significant senior Compliance & Financial Crime experience from a wealth management firm and have previously held SMF 16 and/or 17 (or CF10 or 11). 

If you feel you have the above average interpersonal skills and technical knowledge to be successful in this role, please send your details to gary@symescollins.com (including a contact number & email) however please note that while we try, we cannot always reply to all applications although under no circumstance are your details ever passed on without your specific permission. 

 

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