Head of Compliance & MLRO (SMF16/17)

The City, UK
Competitive salary
04 May 2021
07 May 2021
Experience level
Head of Compliance & MLRO (SMF16/17) - £90-110k + pension, life insurance, profit share, private medical - Flexible working

Award winning Principal firm with a network of Appointed Representative firms based in the City is looking for a Head of Compliance & MLRO to join their team. Flexible working is available with some days working from home. Their products are mainly focussed in the retail investments space:

  • SMF16 - Compliance Oversight responsibilities will include regulatory approvals, SMCR, compliance monitoring programme, compliance policies, horizon scanning, regulatory developments, managing relationships with the FCA, supervising the appointed representatives, identifying areas of risk, investigating and resolving breaches, and compliance projects
  • SMF17 - MLRO responsibilities will include SAR reporting, Financial Crime policies/procedures, responding to requests from regulators, AML risk assessments, and AML training

To apply for this role you will need to be a Head of Compliance / MLRO and will ideally have held SMF16/SMF17 (CF10/CF11) previously. You will need to have operated in a MiFID 2 environment and preferably have had exposure to retail investments firms, Fintech, or FX / CFDs.

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