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Head of Compliance and MLRO
NEWLondon, UKFull-timeGlobal
š Executiveš On-site
ActivePosted within the last 30 days
Job Description
[AI-summarized by JobStash]
You will assume SMF16 and SMF17 responsibilities and act as the primary compliance and MLRO lead for UK operations. You will manage the UK authorisation and FCA Digital Securities Sandbox Gate 2 application, build and run the AML/CTF programme, own regulatory reporting and engagement with the FCA and Bank of England, develop policies and training, perform monitoring and testing, and manage business continuity and third-party onboarding oversight.
Requirements
- ā5 - 7 years working in a regulated firm in a senior Compliance role or MLRO role
- āSignificant experience across UK compliance standards and AML/CTF/FS including onboarding, KYC refresh, customer risk assessments, screening, transaction monitoring and suspicious transaction reporting
- āUnderstanding of the UK AML/CTF/FS regulatory landscape
- āPrior experience engaging with the FCA and/or the Bank of England
- āMiFID experience considered an advantage
- āExcellent written and verbal communication skills
- āAbility to operate with limited supervision and lead a compliance function
- āComfortable adapting to a fast paced, innovative environment
- āNice to have: previous experience as an approved SMF
- āNice to have: familiarity with global regulatory frameworks
Responsibilities
- āAssume SMF16 and SMF17 responsibilities
- āLead the FCA Digital Securities Sandbox Gate 2 application
- āLead MiFID authorisation and act as primary contact for the FCA
- āBuild, implement and manage the AML/CTF programme
- āManage regulatory reporting obligations with the FCA
- āEnsure KYC, onboarding and customer due diligence requirements are met
- āDevelop and maintain policies and deliver compliance training
- āPrepare and deliver periodic management and Board reporting
- āOversee monitoring and testing of compliance policies and processes
- āManage business continuity and operational resilience frameworks
- āProvide oversight of third-party onboarding and conduct risk management
Benefits & Perks
- āGenerous stock options
- āPremium private healthcare
- ā26 days annual leave plus birthday off and regional bank holidays
- āEnhanced parental leave policy
- āMacBook, screens and additional equipment provided
- āSalary sacrifice schemes covering childcare, groceries, EV cars, tech, pensions, bikes and subscriptions
- āModern centrally located offices in London, Belfast, Dundalk and Dubai
Tech Stack
transaction monitoringMiFIDSMF17complianceSMF16Bank of EnglandFCACTFmonitoringtesting