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Job Specification


£70K - £80k + Bonus & Benefits | City of London
Ref: 3793G

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


We have been exclusively appointed by our client, the UK Branch Office of a Leading Foreign Bank, to help source a new Head of Compliance & MLRO (SMF16 & SMF17) for their London Office.  The role will report directly to the UK General Manager with oversight for one staff member initially growing to two in the short term. Duties will include:  

  • Responsibility for overseeing compliance within the Branch and ensuring compliance with applicable laws, regulatory requirements, policies, procedures and manuals; 
  • Provide guidance and pro-active advisory support on rules and regulations, as well as provide transactional approvals and interpretation of internal compliance policies  
  • Provide oversight in respect to the AML and Sanctions compliance programme including  Sanctions Screening, Suspicious Activity Monitoring and Reporting, and Risk Assessment; 
  • Formulate, maintain and update compliance related internal policies and procedures to ensure they comply with the regulatory requirements; 
  • Enhance compliance culture within the Branch, providing regular updates to all units to heighten staff’s compliance and AML awareness 
  • Identify and examine relevant key risk indicators in monitoring compliance risks of financial and operational processes, conduct compliance audits and propose appropriate internal controls and measures in line with the mandate for corporate governance  
  • Ensure that all statutory reports and returns are provided to the Regulators on an accurate and timely basis; 
  • Provide strategic direction to the management team on Compliance and AML; 
  • Liaise with Head Office and various regulatory authorities in relation to Compliance and AML matters. 

You will have gained at least 10 years Compliance and AML experience in a similar Commercial Banking or Foreign Bank Branch environment with a detailed knowledge of FCA & PRA rules as well as MiFID & EMIR and a good understanding of AML requirements. You may have already held SMF16 and SMF17 or be looking for your first opportunity to take on this responsibility.  

So, if that sounds like you, then please send your details to Gary Collins in the first instance (Including a contact number & email) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).  


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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