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Head of Compliance

3 months ago

London Area, United Kingdom Currency Solutions Full time

Head of Compliance & MLRO (SMF16 & 17 Function Holder)

Location: London, SE1 2PD

Salary: £150,000+(Dependent on Experience)


About the Company:

Currency Solutions is a global payments and risk management company based in central London. Being founded in 2003, we are proud to be one of the UK's leading FX companies and serving over 30,000 clients globally.


We are seeking an experienced and dynamic Head of Compliance & MLRO with knowledge of the regulatory landscape and financial Crime prevention requirements facing Authorised Payment Institutions (APIs), Authorised Investment Options and E-money Institutions (EMIs), to join our team. This role is pivotal in ensuring our firm complies with all relevant regulatory requirements, including those set forth by the Financial Conduct Authority (FCA).


The successful candidate will be responsible for overseeing the compliance function, implementing robust AML/CTF frameworks, and fulfilling the responsibilities of Senior Management Functions SMF16 (Compliance Oversight) and SMF17 (MLRO).


Key Responsibilities:


Compliance Oversight (SMF16):

  • Develop, implement, and maintain the firm's compliance policies and procedures to ensure adherence to FCA regulations and industry standards.
  • Monitor and assess compliance with regulatory requirements, identifying any areas of improvement or non-compliance.
  • Provide expert advice and guidance on compliance matters to senior management and staff.
  • Liaise with the FCA and other regulatory bodies, ensuring timely and accurate reporting and disclosure.
  • Conduct regular compliance training for employees to foster a culture of compliance within the firm.
  • Oversee the implementation of new regulatory requirements and ensure timely updates to the compliance programme.
  • Identify, update and manage compliance related risks and associated controls via risk management solution.
  • Oversee the Investment Options arrangements to ensure full ongoing compliance.
  • Review and update compliance policies annually.


Money Laundering Reporting Officer (SMF17):

  • Develop, implement, and maintain an effective AML/CTF framework, ensuring it meets all legal and regulatory requirements.
  • Act as the main point of contact for all AML/CTF issues, including reporting suspicious activities to the National Crime Agency (NCA).
  • Conduct risk assessments to identify and mitigate potential money laundering and terrorist financing risks.
  • Oversee the firm's customer due diligence (CDD) and enhanced due diligence (EDD) processes.
  • Provide regular AML/CTF training to staff, ensuring they are aware of their responsibilities and the latest regulatory developments.
  • Prepare and present AML/CTF reports to the Board and senior management.
  • Investigate, record and ensure timely and effective responses to policy breaches, including developing the necessary corrective solutions.
  • Manage the filing of Suspicious Activity Reports (SARs) and subsequent actions.


Team Management:

  • Lead and manage the compliance team consisting of a Deputy MLRO, Senior Compliance Officer, Internal Auditor & MI Analyst, Compliance Analyst, and Data & Complaints Compliance Officer locally or remotely.
  • Foster a collaborative & proactive working culture within the compliance team.


Reporting:

  • Report to the Board via the quarterly risk and compliance committee
  • Provide compliance updates to the Senior Management Team (SMT) on a monthly basis, including a monthly compliance MI snapshot.


Training and Development:

  • Oversee training arrangements provided by Skillcast & conduct in-house training.


Regulatory Permissions:

  • Manage existing regulatory permissions applications and prepare applications for new permissions as required.


General Duties:

  • Maintain up-to-date knowledge of regulatory changes and industry best practices, ensuring the firm remains compliant.
  • Oversee and monitor the implementation of the compliance program, including reviewing the compliance program from time to time, considering changes in the firm’s businesses and the law / regulatory requirements.
  • Oversee the Compliance Monitoring design and testing.
  • Assist with delivering the ongoing Culture and Conduct Programme.
  • Work closely with IT Products and operations teams to identify and implement automated solutions to continually enhance compliance processes.
  • Deliver, manage and ensure the correct implementation of new compliance systems and controls working closely with the IT & Products teams
  • Conduct internal audits and reviews to ensure the effectiveness of the compliance and AML/CTF programmes.
  • Develop and maintain strong relationships with key stakeholders, including regulators, industry bodies, and internal departments.


Candidate requirements:

  • Proven experience in a senior compliance role within the financial services sector, preferably within FX (Payment Services/FX Options) - e.g. previously held FCA approved functions (SMF16/CF10 and SMF17/CF11).
  • In-depth knowledge of FCA regulations, AML/CTF legislation, and other relevant regulatory requirements applicable to our company.
  • Experience in fulfilling SMF16 and SMF17 roles, with a strong understanding of the associated responsibilities.
  • Professional qualifications in compliance and AML (e.g., ACAMS, CISI) advantageous.
  • Experience with international regulations and requirements in order to support the firm in its rapid expansion plans overseas.
  • Excellent analytical, communication, and leadership skills.
  • Ability to work under pressure and manage multiple priorities.
  • Ability to deal with problems in a practical and common sense way, and make sound decisions (commercial approach and understanding of issues facing the firm)
  • Strong communicator and be able to effectively work across multiple teams and levels within the business.


Personal Attributes:

  • Integrity and a strong commitment to ethical standards.
  • Proactive and results-oriented approach.
  • Detail-oriented with strong problem-solving skills.
  • Ability to build and maintain effective working relationships.
  • Ability to provide fully compliant as well as commercially viable solution



CSL is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. If you are a dedicated compliance professional with a passion for ensuring regulatory excellence, we invite you to apply for this exciting opportunity, If you think that you are suitable for this role.