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Interim Head of Compliance & MLRO (3 to 6 months) - US Boutique Investment Bank (Investment Banking Experience Required)

Day Rate | London
Ref: 3689G

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


Our Client, the established UK arm of a well-known US Boutique Investment Bank, is looking to appoint an Interim Compliance Officer & MLRO while they seek a permanent person for the role. As such, you will need to demonstrate the technical compliance ability and personal desire to step into a busy and dynamic environment as an interim executive overseeing all day-to-day compliance and AML matters. Reporting to the UK CEO and functionally to the US based Head of Group Compliance, duties will include:

  • Full oversite and autonomous management of the Compliance & AML functions.
  • Advising the senior management team and more broadly the business on their existing and ongoing compliance obligations.
  • Work with the business to develop compliance procedures and controls, and provide commercially-orientated compliance advice
  • Managing and mentoring a small competent Compliance & AML Team
  • Oversight for the development, management and execution of the compliance monitoring programme;
  • Periodic board and committee reporting and representing compliance on relevant committees.
  • Dealing with the regulators and other external parties.

The successful candidate must have gained significant senior level compliance experience including previous CF10/11 registration.  While a detailed knowledge of the FCA rules is required as important will be your experience in Investment Banking and Institutional Sales & Trading. NB For the right candidate, this role could lead to a permanent position if desired.

hould you feel you have the experience and above average communication and technical skills to be success in this interim role, then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to


Symes Collins – Part of the Compliance Recruitment Solutions Group

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