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Exclusive: UK Head of Compliance

2 months ago

London, United Kingdom Compliance Recruitment Solutions Full time

Exclusive: UK Head of Compliance & MLRO – IFA or Wealth Management Experience Required  

 

Ref: 4022G3

 

£80K - £100K                                                                             Mostly Remote (Southern England)

 

We have been appointed by our Client, a Global Wealth Manager, who are looking to hire a UK Head of Compliance & MLRO holding SMF16/17 to oversee their small UK branch business.  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 obligations.
  • 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.
  • Review existing policies and procedures for effectiveness
  • As the MLRO, oversee the company’s anti-money laundering activities, policies and procedures.
  • Ensure ongoing monitoring and review of controls and key processes are in place throughout the business.
  • Primary point of contact for the FCA, external regulatory and legal advisors.

 

The successful candidate must have gained senior Compliance & some Financial Crime experience from an IFA or Wealth Management firm and may previously held SMF 16 & 17 (or CF10 or 11) or else be looking to hold these for the first time. Ideally you should be Level 4 RDR qualified or be prepared to study for such.

 

Whilst mainly remote with regular Teams meetings, you may be required to attend the City of London offices for in person meetings 2 – 4 times per month (although can choose to be based there more often if desired) hence it is likely you are based within Southern England (or Midlands/East Anglia).

 

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