The purpose of the Head of Compliance and; MLRO role is to ensure that the organisation is fully
compliant with UK Laws and regulations and within the corporate governance guidelines; the
candidate will be acting as an adviser to the Board of Directors and Senior Management on general
compliance issues. The candidate will also ensure that all legal and regulatory risks are properly
managed, and the compliance culture is promoted throughout the company.
Roles and Responsibilities of the Candidate:
SMF16 Compliance Oversight including relevant prescribed responsibilities
SMF17 Money Laundering Reporting Officer (MLRO) – acting as the MLRO including receipt
assessment, and onward disclosure of SARs
Legislations and regulations – keep up to date with any changes to UK Compliance
regulations and laws, issued via the FCA
Compliance policies and procedures – ensure they are updated and adhered to
AML/CFT policies and procedures - implementing and reviewing
New business reviews – including high risk accounts and PEP approvals
Transactional monitoring
Regulatory approvals, appointment of UK individuals, maintaining the senior managers
regime
Regulatory reporting, via Gabriel and Connect
Key Requirements:
Strong knowledge of UK, European and Global investments and business regulations
Excellent stakeholder management skills and the ability to develop strong relationships
internally and with third parties
Previous experience working in similar positions within the Investment Banking or Brokerage
Relevant training and qualifications within Investment Compliance