EXCLUSIVE: HEAD OF COMPLIANCE & MLRO – ONLINE BROKING COMPLIANCE EXPERIENCE REQUIRED

Ref: 4201G2

£140K-£180K Plus Generous Bonus/Holiday & Good Benefits Hybrid London

We are exclusively recruiting for our Client, a leading Online Broker, looking for an experienced Head of Compliance & MLRO to lead their Compliance Team in London. Managing and mentoring a small team and reporting directly to the CEO, duties will include:

1. Designated SMF16 and SMF 17
2. Responsible for all day-to-day compliance activities, administration and reporting.
3. Developing and maintaining compliance policies and procedures to ensure the firm adheres to its regulatory requirements.
4. Keeping abreast of regulatory developments, ensuring the CEO, Senior Management Team and business are aware of their ongoing and changing regulatory obligations.
5. Board and Committee reporting and attendance.
6. Key contact for liaison with regulators, ensuring maintenance of good relationship and regulatory permissions remain current and appropriate for business needs.
7. Define and implement a compliance monitoring methodology to appropriately address the regulatory risks faced by the business and carryout regular monitoring in accordance with such.
8. MLRO for the firm, ensuring business activities are conducted in conformity with applicable AML laws, regulations and internal policies and procedures.

You have a comprehensive knowledge of UK regulatory laws and FCA Regulations with previous experience in Online Broking and a willingness to lead and mentor a small dedicated team of compliance professionals, ideally with some previous staff management experience.

Our client has expressed a preference for someone who has already held SFM16/17 but would consider exceptional candidates who have significant senior Compliance experience but not previously held the control functions.

This position offers an excellent opportunity in a dynamic and entrepreneurial environment for a confident and professional yet personable and engaging individual with a hands-on approach and the desire to take a leadership role in shaping the compliance function of a well-established successful Online Broker.

If this sounds like your next career move and would like to know more, please email your CV to

mailto:gary@symescollins.com

Compliance Recruitment Solutions Limited (CRS) 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.