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Head of Compliance
1 month ago
Robert Half is recruiting for a Head of Compliance & MLRO for a financial platform.
ROLE: Head of Compliance & MLRO
LENGTH: Perm
LOCATION: Based in London - 3 days in the office
PAY: up to £95,000 per annum
The Role
This role requires authorization from the FCA and will serve as SMF16 (Chief Compliance Officer) and SMF17 (MLRO), adhering to the FCA’s Senior Managers and Certification Regime (SMCR).
Compliance Product Area:
- Understand and navigate the non-readily realizable rules for restricted mass market investments, similar to those for crowdfunding and P2P lending firms.
- Experience in a compliance or risk role within fixed income, P2P lending, or crowdfunding is beneficial.
Compliance Advisory:
- Oversee the daily implementation of the compliance program, including regular compliance monitoring, surveillance, and reporting activities.
- Assist in creating, implementing, training, and testing controls such as policies and procedures.
- Responsible for CASS oversight, including relevant Prescribed Responsibility and coordinating the annual CASS Audit.
- Familiarity with FCA Financial Promotions rules and the ability to approve marketing and promotions.
- Provide comprehensive advice on compliance and legal issues related to regulatory obligations, including regulatory changes.
- Serve as the primary contact for employees on compliance issues and contribute to reporting and communication on compliance matters to senior management and the Board.
- Manage and track staff training related to compliance with the firm’s policies and procedures, including mandatory onboarding and annual refreshers.
- Coordinate annual internal and external audit requests.
- Conduct AML and KYC reviews on clients and counterparts as needed.
- Assist and coordinate new initiatives, particularly those involving business changes and applications to the FCA or other regulators.
Compliance Reporting:
- Monthly reporting of CMAR under the CASS regime.
- Oversee and coordinate regulatory filings, Consumer Duty maintenance, and periodic FCA reporting obligations.
- Ensure compliance with data protection (GDPR) requirements in coordination with other business members.
- Experience with various fintech and investment management structures, including UK and European regulatory and reporting requirements, is advantageous.
- Ensure accurate and timely regulatory notifications on applications made to the FCA or other regulators.
If this is of interest, please apply and I'll be in touch asap.
Thanks,
Taryn