Back to vacancies

 

Head of Compliance & MLRO 

Wealth Management Experience Required  

£120K -  £150K+ Bonus & Benefits                  

Hybrid (City of London)

Ref: 4014G

 

We have been appointed by our Client, a leading Independent Broking Group, who are looking to hire a Head of Compliance & MLRO holding SMF16/17.  Reporting to the CEO and Board, duties will include?:

  • Perform the SMF16 role of the business including remaining current with all relevant regulatory changes that impact the business and ensuring the business and senior management remain abreast of their obligation
  • Provide support, guidance and advice to the Board, Managers and colleagues to support and facilitate a strong compliance framework and culture, ensuring open and effective communication and resolution of compliance issues.
  • As the MLRO, oversee the company's anti-money laundering activities, policies and procedures including day to day AML investigation and reporting.
  • Participation in entity-wide processes providing financial crime compliance representation and signoffs.
  • Ensure ongoing monitoring and review of controls and key processes are in place throughout the business.
  • Provide reports for the Directors on Risk & Compliance issues  

 

The successful candidate must have gained significant senior Compliance & Financial Crime experience from a wealth management firm and have previously held SMF 16 and/or 17 (or CF10 or 11). 


If you feel you have the above average interpersonal skills and technical knowledge to be successful in this role, please send your details to gary@symescollins.com (including a contact number & email) however please note that while we try, we cannot always reply to all applications although under no circumstance are your details ever passed on without your specific permission. 

 

Apply Here

 

 

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.  The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.