⭐️ Head of Compliance & MLRO
📍 Home Based
💰 Competitive Salary
Our client is looking for a Head of Compliance & MLRO to lead the compliance function and oversee the anti-financial crime framework across the Group’s FCA-regulated wealth management and financial advisory firms. You will ensure that the firm meets all its regulatory obligations, maintain a robust compliance culture, and proactively manage financial crime risks.
Role & Responsibilities: 📋
* Serve as the firm’s Head of Compliance and MLRO, ensuring full adherence to FCA and other applicable regulations.
* Develop, implement, and maintain the compliance framework, policies, and procedures across the business.
* Act as the primary point of contact with regulators, including handling FCA notifications, reporting obligations, and inspections.
* Monitor and review financial crime risks, ensuring effective AML/CTF policies, client due diligence, and suspicious activity reporting.
* Deliver compliance training and support to staff at all levels, fostering a strong culture of compliance.
* Oversee compliance monitoring programmes, risk assessments, and internal audits.
* Advise the Board and senior management on emerging regulatory changes and best practices.
* Prepare and present compliance and AML/CTF reports to the Board and Committees.
Do you have the following to apply? ✅
* Proven experience as a Head of Compliance, MLRO, or senior compliance officer within a financial advisory, wealth management, or investment firm.
* In-depth knowledge of FCA Handbook including working knowledge of ICARA
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.