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£ 550 - £ 700 | LONDON
Ref: 3941G

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our client, a global online brokerage, is looking for a Head of Compliance and Operations for their London Office.  You will be responsible for all compliance and AML matters as well as operations for the UK business.  Reporting the UK CEO and managing a small team, duties will include;

  • Provide compliance advice to the company, ensuring the understanding of and compliance with the legislation applicable to the company.
  • Perform the responsibilities of the Money Laundering Reporting Officer (MLRO)
  • Monitor new and proposed changes in the standards, legislation, and notifications from regulators and update internal policies and procedures accordingly.
  • Identify and assess compliance risks, devise strategies for mitigating potentially adverse compliance and regulatory actions and share detailed risk reports.
  • Liaise with regulatory authorities as required.
  • Develop and lead the implementation of strategy for monitoring compliance, audits, reviews, and action plans.
  • As COO, responsible for day-to-day oversight particularly around Sales & Marketing as well as board level Corporate Governance and Leadership

You should have Compliance experience in a fully regulated FCA firm including experience of liaising with the FCA. You should also have a good understanding of AML and either experience in Securities Trading or a broader Fintech but willing to pick up the Compliance & Product nuances of Securities Trading.

This is a fantastic opportunity for a confident and polished individual with strong interpersonal skills both to join a hugely successful global brokerage in a very visible and influential board level role and to add  broader Governance & Operations responsibilities to your cv than most SMF 16 roles can offer.

NB our client is equally interested in Consultants available immediately for 3 months minimum or those looking for a permanent role (on a commensurate salary including a generous bonus) if also available for immediate start.

If you feel you have the above average interpersonal skills and technical knowledge to help the business grow in the UK then for further information or a confidential no obligation discussion, please feel free to call Gary Collins on 020 7562 7400 or send your details to him at


Compliance Recruitment Solutions Limited (CRS) are 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 application, 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.


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