Head of Compliance & MLRO

THE COMPANY:

Our client is a Wholesale Investment firm looking to recruit a Head of Compliance & MLRO.  This role has responsibility to ensure the firm adheres to the relevant regulatory standards and internal policies, maintaining its ethical integrity and minimizing risks.

THE RESPONSIBILITIES:

• As the the Head of Compliance you are responsible for ensuring that the firm adheres to the relevant regulatory standards and internal policies, maintaining its ethical integrity and minimizing risks.
• You will be a strategic partner to the business, providing expert compliance guidance across, Sales & Trading, Financing / Refinancing activity, Intergroup trading activity, Clearing and Custody. This role is pivotal in ensuring strong controls around market conduct, conflicts of interest, and the handling of material non-public information (MNPI). You’ll support strategic initiatives including new product launches, market expansion, and regulatory change embedding compliance into the heart of business innovation.
• Keep the board aware of the Board on regulatory developments and how it will affect the firm’s business and controls.
• Provide regulatory advice to front-office as well as operational teams on the application of regulations (e.g., MAR, MiFID II, FCA Handbook).
• Review and monitor intergroup trade / transaction booking arrangements
• Develop and maintain compliance policies and procedures aligned with evolving regulatory expectations.
• Design and implement monitoring and testing plans to evaluate and enhance control effectiveness.
• Design and implement Risk matrixes for the Compliance department to feed into the monthly Risk & Compliance Meeting and the Board.
• Horizon scanning and reporting on any changes / enhancements required as a result.
• Review and ensure appropriate training is delivered to employees.
• Hold SMF 16 and 17 functions.

EXPERIENCE REQUIRED:

• Demonstrated relevant experience in a wholesale investment firm .
• Experience of providing expert compliance guidance across, Sales & Trading, Financing / Refinancing activity, Intergroup trading activity, Clearing and Custody. of
• Proven ability to develop and maintain robust compliance frameworks and monitoring programs.
• Excellent understanding / knowledge of knowledge of UK, EU, and global regulations (e.g., MAR, MiFID II, DTR, SSR).
• Strong track record in supporting strategic business initiatives and regulatory change.

For further information please contact Hannah Tabatabai