Head of Legal and Compliance
3 days ago
THE COMPANY:
Our client is successful and rapidly growing financial services firm.
THE RESPONSIBILITIES:
- Lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17.
- Ensure compliance with all relevant laws and regulations
- Liaise with regulatory bodies
- Ensure all regulatory filings and reports are accurate and submitted on time.
- Lead the drafting, review, and implementation of comprehensive policies and procedures for legal, compliance, and AML activities.
- Regularly review and update policies to reflect changes in regulatory requirements, incorporating changes into the firm’s procedures and processes effectively.
- Draft and review key contracts, agreements, official responses to customer disputes and other legal documents
- Stay abreast of legal developments and advise the business on potential impacts.
- Act as the Money Laundering Reporting Officer (MLRO) for the company.
- Develop and implement AML policies and procedures.
- Conduct AML risk assessments and ensure effective AML controls are in place.
- Report suspicious activities to the relevant authorities and maintain records of such reports.
- Provide AML training and guidance to staff.
- Lead the end-to-end customer complaints process, ensuring timely and effective resolution.
EXPERIENCE REQUIRED:
- Strong academic background demonstrating analytical ability and capacity for handling complex regulatory frameworks.
- Current or recent experience as SMF16/SMF17
- Extensive experience in legal, compliance, and AML roles, within the financial services space- ideally from a brokerage environment
- Strong leadership and management skills.
- Excellent communication and interpersonal skills.
- First class levels of attention to detail and an excellent ability to accurately and coherently articulate points and arguments.
For further information please contact Natalie Eshelby
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