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Compliance Head & MLRO

  • Job type: Permanent
  • Location: London
  • Salary: £95000 - £100000 per annum
  • Job reference: Compliance Head
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 14/11/2017
OVERVIEW


A brokerage based in the heart of the city is looking for a Compliance Head & MLRO to ensure the firm compliaes with its regulatory obligations (SMF16 / SMF17 OR ex CF10 / CF11).


DUTIES & RESPONSIBILITIES:
  • Act as the main point of contact for the FCA and other UK regulators
  • Report directly to the board as you will have overall responsibility for the Compliance and Anti - Money Laundering (AML) functions in the UK, including the day-to-day compliance advisory role to the business.
  • As the Money Laundering Reporting Officer (MLRO), are the nominated officer within the firm charged with the responsibility to investigate and make disclosures to the National Crime Agency (NCA)
  • Monitor UK and EU regulatory developments and ensure timely implementation
  • Approve CDD checks for new customers, review existing files for accuracy and completeness prior to sign-off.
  • Manage all aspects of financial crime.
  • Oversee the daily transaction reporting to the FCA (MiFID & EMIR).
  • Conduct or oversee the completion of Ad Hoc Compliance activities/tasks
Key Essential Skills
  • Educated to degree level or equivilaent.
  • Proven Compliance experience gained within financial services,
  • Strong knowledge of FCA regulations
  • Familiarity with compliance monitoring systems especially pre-and post-trade monitoring. 
  • Excellent knowledge of AML /KYC processes and requirements. 
    Adaptable & flexible,
  • Project management experience, demonstrable expertise in implementing compliance monitoring programmes (CMP).
  • Extensive and up to date knowledge of UK and EU regulatory legislation and compliance requirements.
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