Head of Compliance & MLRO (SMF16 & SMF17)
Our client is a global multi-asset broker trading products including FX, Commodities, ETFs, and Cryptocurrencies. They are looking for a UK-based Head of Compliance, who can also act as the MLRO for the business. This will be a key leadership position, working alongside the C-suite of the UK business and will be pivotal in ensuring the firm’s compliance with all applicable regulations.
Key Responsibilities:
* Keep up to date with FCA regulations and guidelines relevant to brokerage firms, ensuring full regulatory compliance.
* Be the primary point of contact for regulatory audits and inquiries, maintaining strong relationships with regulatory bodies.
* Oversee and enhance the firm’s policies and procedures, ensuring they remain current and effective.
* Develop and implement compliance frameworks to ensure regulatory risk is mitigated.
* Prepare and submit accurate and timely regulatory reports and filings.
* Continue to collaborate with the global compliance team to align practices and share best strategies.
Experience, Skills and Qualifications:
* Experience in holding SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) responsibilities.
* Experience leading compliance functions within the financial services industry, preferably in a brokerage setting.
* Deep knowledge of FCA regulations around derivatives and trading products, such as CFDs and FX.
* Exceptional communication and interpersonal skills, with the ability to effectively interact with internal teams and regulatory authorities.
* Relevant certifications such as a CISI Diploma in Investment Compliance or an ICA Diploma in Anti Financial Crime would be desirable and advantageous.
You will be joining a thriving business where you can shape the future of the firm's existing compliance programme. If you're interested in finding out more, please reach out to shane.cassidy@coopman.uk.
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Seniority level
Not Applicable
Employment type
Full-time
Job function
Other
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