Are you a professional and qualified Compliance Officer with senior-level experience within financial services?

Are you analytical and a problem-solver as well as being a strong communicator, able to liaise effectively with senior stakeholders and regulatory authorities?

Do you also have the necessary qualifications to be registered and act as a the MLRO?

Our client is looking for a Head of Compliance, with UK experience, to play a pivotal role. You will be responsible for compliance strategy, developing and implementing policies, procedures and controls of day-to-day operations.

Responsibilities:

• Stay updated on all FCA regulations and guidelines regarding brokerage operations, ensuring strict adherence to these regulations
• Serve as the primary point of contact for regulatory inquiries and examinations, building positive relationships with regulatory authorities
• Overseeing and maintaining the firm's policies and procedures to ensure they remain effective and up to date
• Developing and implementing compliance policies, procedures, and controls to effectively mitigate regulatory risks
• Preparing and submitting regulatory reports and filings accurately and within prescribed deadlines
• Working closely with the global compliance function at the group level to ensure alignment and best practices

Requirements:

• Necessary qualifications to be designated compliance officer (SMF16 Compliance Oversight and SMF17 Money Laundering Reporting Officer (MLRO)
• Senior-level experience in compliance within the financial services industry, preferably in a brokerage firm
• Deep understanding of FCA regulations and guidelines
• Excellent communication and interpersonal skills, with the ability to liaise effectively with internal stakeholders and regulatory authorities
• Strong analytical and problem-solving abilities, with a keen attention to detail
• Relevant professional qualifications (e.g., ACAMS, ICA Diploma in Financial Crime Compliance) preferred

Posted date: 4 Dec 2024