Exclusive - Head of Compliance & MLRO - Investment Banking

1 week ago

London, United Kingdom CLARC Recruitment Full time

We are exclusively for a leading financial services firm who are looking to recruit a Head of Compliance & MLRO for their London office.

Main Responsibilities:

  • Develop and implement a robust Compliance framework, policies and procedures in accordance with relevant regulatory requirements and expectations, industry best practice, and firm obligations
  • Maintain a detailed understanding of UK and EU regulatory requirements, Market Abuse Regulations (Insider Lists, MNPI etc), Sponsor Rules, Listing Rules etc.
  • Ensure that appropriate compliance procedures are in place and monitored in accordance with FCAs expectation
  • Provide expert Compliance advice and guidance across a broad range of Investment Banking transactions and services, including sponsor transactions, equity and debt transactions, IPOs, and placements.
  • Oversee the day-to day compliance operations, including monitoring, compliance reviews and conflicts of interest management
  • Keep abreast of relevant regulatory developments, industry trends and emerging risks to ensure timely implementation of changes to the Compliance framework


Job Requirements:

  • Previously held SMF 16 & SMF 17
  • Strong knowledge of relevant laws, regulations and industry best practices related to compliance, AML/CFT and financial services.
  • Corporate transactional experience gained in a law firm, or compliance function of a financial services institution would be an advantage.
  • Knowledge and understanding in relation to the Market Abuse Regulation, MIFID, Exchange Listing Rules, the Transparency Rules a distinct advantage

The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

Unless otherwise stated, candidates must have the right to work in the UK.

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