Head of Compliance & MLRO
About the Role
We are seeking an experienced compliance leader to head our Compliance Function, acting as the second line of defense and ensuring adherence to all regulatory requirements. This role will oversee market abuse surveillance, anti-money laundering (AML), counter-terrorist financing (CTF), sanctions, KYC, onboarding, and engagement with regulators.
Key Responsibilities
- Lead and manage the Compliance Function to ensure full regulatory compliance.
- Oversee market abuse surveillance and AML/CTF/sanctions processes.
- Manage KYC and client onboarding activities.
- Assess and determine when to file Suspicious Transaction Reports.
- Oversee communication and engagement with relevant regulators.
- Ensure the organisation meets all regulatory obligations in applicable jurisdictions.
- Provide accurate compliance advice to business units and respond to ad hoc queries.
- Contribute to projects, new products, and proposals, with consideration of reputational risks.
- Deliver training on regulatory risks and changes.
- Execute a risk-based compliance monitoring programme including risk assessments, business reviews, thematic reviews, and testing.
- Maintain surveillance, logging, escalation, and resolution of relevant issues.
- Execute core compliance processes such as market conduct, gifts and entertainment, regulatory liaison, reporting, licensing, employee trading, conflicts of interest, and breach logs.
- Draft and maintain compliance frameworks, policies, plans, and procedures (e.g., AML/CTF & Sanctions Policy, Market Abuse Policy, Whistleblowing Policy, Complaints Handling Policy, etc.).
- Keep abreast of market trends, regulatory changes, and technological developments.
- Produce management reports for internal committees and the Board.
- Mentor and develop junior compliance officers.
Requirements
- 10+ years’ experience in compliance within a MiFID investment firm, ideally holding PCF-12 & 52 roles, with a focus on equities/CFDs.
- Experience with systematic internalisers, MTFs, exchanges, or algorithmic trading tools (RTS 6) in a highly regulated environment.
- Strong interest in financial markets and solid knowledge of the brokerage industry, especially retail flow.
- Comprehensive understanding of market practices and regulatory requirements, including IFR/IFD.
- Minimum 2:1 degree in Business, Law, Economics, or related field.
- Excellent written and verbal communication skills.
- Ability to work under pressure with adaptability and a results-driven mindset.
- High attention to detail, accuracy, and proactive problem-solving skills.
- Strong leadership and mentoring abilities.
What’s on Offer
- Opportunities to make a significant impact and shape innovative services.
- A dynamic, collaborative, and high-performing environment.
- Autonomy to lead your function and manage your team.
- Competitive remuneration and benefits package, including health, life, and disability insurance, pension, 26 days’ holiday, and annual bonuses.
If you are interested and have the relevant experience, apply by sending CVs to [email protected]
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