Head of Compliance

Are you a proactive SMF16/17 certified Compliance professional looking for your next ‘Head of’ level opportunity?

Our client, an award-winning retail broker and FX organisation, are hiring a new ‘Head of Compliance’ on a permanent basis within their fantastic London office.

Offering a base salary up to £140,000 - £150,000 alongside discretionary bonus, an inclusive culture, and wider benefits. Please note, due to the nature of business, this role is full time based in the office – 5 days per week.

This is a perfect opportunity for someone who wants to…

• Lead on Compliance in the UK for the retail arm of the business, you will undertake compliance risk assessments, development compliance frameworks and implement policies.

• Be responsible for regulatory reporting, liaising with the regulator and review of financial promotions considering regulatory obligations, and support the business in guidance.

• MLRO, AML and financial crime duties including review, testing and monitoring controls, ensuring policies and procedures are fit for purpose and proactive towards compliance.

• Engage, collaborate and business partner with high-profile and Executive level stakeholders across the business, and work as part of a small collaborative team with line management responsibilities for 1 person.

You will also, ideally have a good practical knowledge and have…

At least 5 + years’ of Compliance & Financial Crimes experience previously in an FX environment and financial services.

• Practical experience with compliance monitoring, testing, and performing thematic reviews. Alongside working on financial crime policies, aml reviews and MLRO duties.

• Ideally you will be SMCR certified already, or working towards this, and have practical experience of liaising with the regulator on Compliance / Financial Crime and Legal matters.

• Excellent relationship building, written and verbal communication skills with stakeholders at all levels including executive across the whole organisation.

If this sounds like an interesting opportunity for you, or perhaps someone you could kindly recommend from your network, and you want to hear more. - Please apply today!