Deputy MLRO and Senior Compliance Manager

4 weeks ago

London Area, United Kingdom JSS Search Full time

Key info:

  • Permanent role paying up to 95k
  • Lending/retail banking experience essential
  • Deputy MLRO and member of Risk Committee
  • Provide an effective 2nd line compliance, financial crime and data protection framework, plan, and maintain relations with 3rd line assurance.
  • Own, develop and review all company policies (except credit), ensuring all employees are educated on the latest regulation, process, and good practice.
  • Material focus on protecting the business from Financial Crime
  • 3 days in office, 2 from home


Financial Crime

  • Responsible for implementing and maintaining all Financial Crimes policies and procedures
  • Carry out a second line role
  • Maintain the firm’s financial crime risk assessment tool
  • Produce relevant management information regarding Financial Crime and draft the annual MLRO report
  • Investigate Suspicious Activity Reports and report the relevant law enforcement body if required
  • Maintain knowledge on financial crime legislation and good practice (including attending external training and CIFAS Mortgage Sector Working Party Group)
  • Keep the firm’s Board and Risk Committee up to date on any upcoming changes which would impact the firm
  • Provide ongoing training to firm on financial crime


Data Protection and Security

  • Responsible for ensuring Data Protection and Security Policies are in place and maintained
  • Responsible for maintaining appropriate registers such as Register of Processing Activities
  • Manage borrowers’ rights under data protection legislation e.g. Data Subject Access Requests
  • Data Security management – Review proposed changes and new IT software from a data protection and security perspective
  • Liaising with IT to conduct Phishing Exercises and similar


General Compliance

  • Own, maintain, develop and review compliance policies, advising management on possible risks
  • Maintain the compliance monitoring calendar
  • Advise management on the company’s compliance with regulation through regular reporting
  • Develop and implement audit calendar with is approved by Risk Committee for internal and external oversight
  • Engage with 3rd party auditors and manage audit process and findings
  • Create and manage action plans in response to audit findings and outcomes
  • Conduct Internal reviews against the firm’s own policies e.g. third party introducers
  • Complete all required regulatory returns and CIFAS returns/attendance at CIFAS meetings


Required skills/experience:

  • Proven experience in compliance role at a mortgage lender
  • Strong knowledge of PRA & FCA regulation of mortgage industry including CBTL
  • Able to work with minimum supervision
  • Strong attention to detail and analytical skills
  • Able to hold their own with senior colleagues

  • Deputy Head of Compliance

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: We are working with a regular client of ours who are searching for a Deputy Head of Compliance & Deputy MLRO. The client are a commodities broker in the City close to Liverpool Street. You will Support the Head of Compliance/MLRO to deliver second line oversight of company’s activities to ensure the business operates within its regulatory...

  • Deputy MLRO and Senior Compliance Manager

    4 days ago

    London Area, United Kingdom JSS Search Full time

    Key info: Permanent role paying up to 95k Lending/retail banking experience essential Deputy MLRO and member of Risk Committee Provide an effective 2nd line compliance, financial crime and data protection framework, plan, and maintain relations with 3rd line assurance. Own, develop and review all company policies (except credit), ensuring all employees are...

  • Head of Compliance and MLRO

    1 week ago

    London Area, United Kingdom Albany Beck Full time

    Role Overview:Albany Beck is looking for a Head of Compliance & Money Laundering Reporting Officer (MLRO) to strengthen our Compliance Practice in the UK, supporting our clients across various Programmes. This individual will hold the CF 10 and CF 11 functions as required by the Financial Conduct Authority (FCA) and during the initial engagement, they will...

  • Mlro - Exclusive Instruction

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **The Client** We have been retained by a boutique investment bank to identify a MLRO for their London based operation. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. **The Responsibilities** - Responsible for the effective and efficient design and execution of the firms AFC framework -...

  • Deputy Mlro

    6 months ago

    London, United Kingdom Afterpay Full time

    **Company Description**: Block is one company built from many blocks, all united by the same purpose of economic empowerment. The blocks that form our foundational teams — People, Finance, Counsel, Hardware, Information Security, Platform Infrastructure Engineering, and more — provide support and guidance at the corporate level. They work across business...

  • Deputy MLRO and Senior Compliance Manager

    4 weeks ago

    London, United Kingdom JSS Search Full time

    Key info:Permanent role paying up to 95kLending/retail banking experience essentialDeputy MLRO and member of Risk CommitteeProvide an effective 2nd line compliance, financial crime and data protection framework, plan, and maintain relations with 3rd line assurance.Own, develop and review all company policies (except credit), ensuring all employees are...

  • Deputy MLRO and Senior Compliance Manager

    4 weeks ago

    London, United Kingdom JSS Search Full time

    Key info:Permanent role paying up to 95kLending/retail banking experience essentialDeputy MLRO and member of Risk CommitteeProvide an effective 2nd line compliance, financial crime and data protection framework, plan, and maintain relations with 3rd line assurance.Own, develop and review all company policies (except credit), ensuring all employees are...

  • Deputy MLRO and Senior Compliance Manager

    4 days ago

    London, United Kingdom JSS Search Full time

    Key info: Permanent role paying up to 95k Lending/retail banking experience essential Deputy MLRO and member of Risk Committee Provide an effective 2nd line compliance, financial crime and data protection framework, plan, and maintain relations with 3rd line assurance. Own, develop and review all company policies (except credit), ensuring all employees...

  • Deputy MLRO and Senior Compliance Manager

    4 days ago

    London, United Kingdom JSS Search Full time

    Key info: Permanent role paying up to 95k Lending/retail banking experience essential Deputy MLRO and member of Risk Committee Provide an effective 2nd line compliance, financial crime and data protection framework, plan, and maintain relations with 3rd line assurance. Own, develop and review all company policies (except credit), ensuring all employees...

  • Deputy MLRO and Senior Compliance Manager

    4 weeks ago

    London,, UK, United Kingdom JSS Search Full time

    Key info:Permanent role paying up to 95kLending/retail banking experience essentialDeputy MLRO and member of Risk CommitteeProvide an effective 2nd line compliance, financial crime and data protection framework, plan, and maintain relations with 3rd line assurance.Own, develop and review all company policies (except credit), ensuring all employees are...

  • Deputy Mlro

    6 months ago

    London, United Kingdom Barclay Simpson Full time

    **Deputy MLRO**: - London - £85000 - Job type: Permanent - Sector: Financial Services - Job reference: 41301 My client is a fast growing well known payments provider. We are seeking a Financial Crime professional who has experience of working in a Fintech digital business, building a 2nd line AML Financial Crime framework including drafting policies and...

  • Head of Compliance and MLRO

    4 weeks ago

    London, United Kingdom Albany Beck Full time

    Job Description Role Overview: Albany Beck is looking for a Head of Compliance & Money Laundering Reporting Officer (MLRO) to strengthen our Compliance Practice in the UK, supporting our clients across various Programmes. This individual will hold the CF 10 and CF 11 functions as required by the Financial Conduct Authority (FCA) and during the initial...

  • Head of Compliance and MLRO

    4 weeks ago

    London, United Kingdom Albany Beck Full time

    Role Overview:Albany Beck is looking for a Head of Compliance & Money Laundering Reporting Officer (MLRO) to strengthen our Compliance Practice in the UK, supporting our clients across various Programmes. This individual will hold the CF 10 and CF 11 functions as required by the Financial Conduct Authority (FCA) and during the initial engagement, they will...

  • Head of Compliance and MLRO

    4 weeks ago

    London, United Kingdom Albany Beck Full time

    Role Overview:Albany Beck is looking for a Head of Compliance & Money Laundering Reporting Officer (MLRO) to strengthen our Compliance Practice in the UK, supporting our clients across various Programmes. This individual will hold the CF 10 and CF 11 functions as required by the Financial Conduct Authority (FCA) and during the initial engagement, they will...

  • Head of Compliance and MLRO

    4 weeks ago

    London,, UK, United Kingdom Albany Beck Full time

    Role Overview:Albany Beck is looking for a Head of Compliance & Money Laundering Reporting Officer (MLRO) to strengthen our Compliance Practice in the UK, supporting our clients across various Programmes. This individual will hold the CF 10 and CF 11 functions as required by the Financial Conduct Authority (FCA) and during the initial engagement, they will...

  • Deputy MLRO and Senior Compliance Manager

    4 weeks ago

    London, United Kingdom JSS Search Full time

    Job Description Key info: Permanent role paying up to 95k Lending/retail banking experience essential Deputy MLRO and member of Risk Committee Provide an effective 2nd line compliance, financial crime and data protection framework, plan, and maintain relations with 3rd line assurance. Own, develop and review all company policies (except credit), ensuring...

  • Head of Compliance

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team. This is a great opportunity for someone to step up in to ‘Head of’ role. **THE RESPONSIBILITIES**: - Continued development and implementation of a comprehensive compliance program, ensuring the...

  • Head of Compliance

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team on a part-time basis. **THE RESPONSIBILITIES**: - Continued development and implementation of a comprehensive compliance program, ensuring the business remains compliant with all relevant laws,...

  • Mlro

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an innovative and forward-thinking alternative banking group, with exciting growth plans. They are seeking a highly skilled and experienced MLRO to join the Team and help out on a ‘pre-launch’ basis. You will NOT be registered with the FCA **THE RESPONSIBILITIES**: - Liaising with key internal stakeholders (e.g. Legal,...

  • Mlro & Head of Compliance

    6 months ago

    London, United Kingdom Talkremit Ltd Full time

    We are seeking a Compliance Officer who can enhance the existing Compliance framework and build robust systems and controls. You’ll be an experienced senior Compliance specialist familiar with operating at ‘Head of’ level or equivalent within the payment/e-money institution. You’ll be responsible for the ongoing development of the firm’s...