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MLRO (SMF 17) and Deputy Head of Compliance -Investment Banking

4 months ago

City of London Greater London, United Kingdom Page Executive Full time

About Our Client

A small Investment Bank with aggressive growth plans, specialising in Emerging Markets.

Job Description

  • Lead the regulatory compliance program within the Investment Banking department.
  • Fulfil the role of MLRO (SMF 17), ensuring regulatory requirements are adhered to.
  • Implement and manage regulatory risk assessments and audits.
  • Be hands on and a doer
  • Engage with regulators and internal stakeholders on compliance matters.
  • Develop and update compliance policies and procedures in line with regulatory changes.
  • Provide training and guidance on compliance matters to staff across the organisation.
  • Report to the Head of Compliance on compliance activities and initiatives.

The Successful Applicant

A successful MLRO (SMF 17) and Deputy Head of Compliance should have:

  • An academic degree in a related field such as finance, business, or law.
  • Proven expertise in regulatory compliance within the financial services industry.
  • Strong knowledge of Investment Banking operations and related regulatory requirements.
  • Have experience in emerging markets ideally in a small/ mid sized bank
  • Excellent communication skills, with the ability to engage with regulators and internal stakeholders.
  • Strong analytical and problem-solving abilities, with a keen eye for detail.

What's on Offer

competitive package, please note this is a 5 day in office role.

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