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Job Specification

Start Up Head of Compliance & MLRO – CFDs Experience Required

£140K - £180K + Bonus & Benefits
Ref: 3736G2

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


Our Client, a long established overseas conglomerate including various financial service divisions, are   now looking to open their first UK Office and seek to recruit a Head of Compliance (SMF16) and MLRO (SMF17). Reporting to the overseas Group Head of Compliance as well as the UK MD (and liaising with the separate Risk team), duties will include:


·       Set up all required Compliance Departmental procedures including monitoring & regulatory reporting 

·       Review all Front & Back office operational processes and ensure Compliant  

·       Be the main point of contact for the FCA

·       Act as a valued commercial as well as regulatory advisor to the Board 

·       Ensure all incoming staff & Directors properly categorised under the SMCR, documentation completed and appropriate training provided 

·       Ensure all proposed regulatory changes notified to the Board as soon as known

·       Advise the Board and Business Management on any ongoing issues on a timely basis 

·       Ensure all AML & Financial Crime responsibilities carried out  

·       Recruit & manage appropriate staff needed to achieve the above 


You should be able to hold SMF 16 & 17 (whether or not previously held a CF or SMF) with previous Board Level experience of Compliance in a CFD environment (ideally a 730K firm), whilst still able to roll your sleeves up (with the support of an experienced Compliance Consultancy). 


You must also be technically competent both in the detail of the AML & FCA Regulations and in understanding how a CFD trading firm operates. You should also be professionally qualified as an Accountant, ACIS/ACG or Lawyer (or else have post graduate qualifications and/or relevant ICA or CISI qualifications) 


Great opportunity to build your own department (and team) from scratch as well as utilise your overall commercial experience on non-regulatory issues at Board level, so if you feel you have the relevant experience and confidence to do so, 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


Please note that due to reduced support staff as a result of COVID 19 restrictions, we can only respond to successful applicants



Symes Collins 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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