Head of Compliance & MLRO (SMF16 & SMF17)
5 days ago
City of London
Our client is a global multi-asset broker, trading products including FX, Commodities, ETFs, and Cryptocurrencies. They are looking for a UK-based Head of Compliance, who can also act as the MLRO for the business. This will be a key leadership position, working alongside the C-suite of the UK business and will be pivotal in ensuring the firm’s compliance with all applicable regulations. Key Responsibilities: • Keep up to date with FCA regulations and guidelines relevant to brokerage firms, ensuring full regulatory compliance., • Be the primary point of contact for regulatory audits and inquiries, maintaining strong relationships with regulatory bodies., • Oversee and enhance the firm’s policies and procedures, ensuring they remain current and effective., • Develop and implement compliance frameworks to ensure regulatory risk is mitigated., • Prepare and submit accurate and timely regulatory reports and filings., • Continue to collaborate with the global compliance team to align practices and share best strategies. Experience, Skills and Qualifications: • Experience in holding SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) responsibilities., • Experience leading compliance functions within the financial services industry, preferably in a brokerage setting., • Deep knowledge of FCA regulations around derivatives and trading products, such as CFDs and FX., • Exceptional communication and interpersonal skills, with the ability to effectively interact with internal teams and regulatory authorities., • Relevant certifications such as a CISI Diploma in Investment Compliance or an ICA Diploma in Anti Financial Crime would be desirable and advantageous. You will be joining a thriving business where you can shape the future of the firm's existing compliance programme. If you're interested in finding out more, please reach out to . As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.