Head of Compliance & MLRO

THE COMPANY:

We excited to be working with a growing brokerage firm.  This is a great opportunity for a commercially minded experienced Compliance Officer/MLRO.

THE RESPONSIBILITIES:

• 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:

• Ten years relevant experience in a wholesale Brokerage investment firm .
• Proven ability to develop and maintain robust compliance frameworks and monitoring programs.
• Excellent understanding / 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 .
• Excellent interpersonal and communication skills, with the ability to influence and guide senior stakeholders.

For further information please contact Hannah Tabatabai