MLRO (SMF 17) and Deputy Head of Compliance -Investment Banking
3 weeks ago
About Our Client
A small Investment Bank with aggressive growth plans, specialising in Emerging Markets.
Job Description
- Lead the regulatory compliance program within the Investment Banking department.
- Fulfil the role of MLRO (SMF 17), ensuring regulatory requirements are adhered to.
- Implement and manage regulatory risk assessments and audits.
- Be hands on and a doer
- Engage with regulators and internal stakeholders on compliance matters.
- Develop and update compliance policies and procedures in line with regulatory changes.
- Provide training and guidance on compliance matters to staff across the organisation.
- Report to the Head of Compliance on compliance activities and initiatives.
The Successful Applicant
A successful MLRO (SMF 17) and Deputy Head of Compliance should have:
- An academic degree in a related field such as finance, business, or law.
- Proven expertise in regulatory compliance within the financial services industry.
- Strong knowledge of Investment Banking operations and related regulatory requirements.
- Have experience in emerging markets ideally in a small/ mid sized bank
- Excellent communication skills, with the ability to engage with regulators and internal stakeholders.
- Strong analytical and problem-solving abilities, with a keen eye for detail.
What's on Offer
competitive package, please note this is a 5 day in office role.
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City of London, United Kingdom Page Executive Full timeAbout Our Client A small Investment Bank with aggressive growth plans, specialising in Emerging Markets. Job DescriptionLead the regulatory compliance program within the Investment Banking department.Fulfil the role of MLRO (SMF 17), ensuring regulatory requirements are adhered to.Implement and manage regulatory risk assessments and audits.Be hands on and a...
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City of London, Greater London, United Kingdom Page Executive Full timeAbout Our Client A small Investment Bank with aggressive growth plans, specialising in Emerging Markets. Job Description Lead the regulatory compliance program within the Investment Banking department. Fulfil the role of MLRO (SMF 17), ensuring regulatory requirements are adhered to. Implement and manage regulatory risk assessments and audits. Be...
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City of London, Greater London, United Kingdom Page Executive Full timeAbout Our Client A small Investment Bank with aggressive growth plans, specialising in Emerging Markets. Job Description Lead the regulatory compliance program within the Investment Banking department. Fulfil the role of MLRO (SMF 17), ensuring regulatory requirements are adhered to. Implement and manage regulatory risk assessments and audits. Be...
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City of London, United Kingdom Page Executive Full timeAbout Our Client A small Investment Bank with aggressive growth plans, specialising in Emerging Markets. Job Description Lead the regulatory compliance program within the Investment Banking department. Fulfil the role of MLRO (SMF 17), ensuring regulatory requirements are adhered to. Implement and manage regulatory risk assessments and audits. ...
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City of London, United Kingdom Page Executive Full timeAbout Our Client A small Investment Bank with aggressive growth plans, specialising in Emerging Markets. Job Description Lead the regulatory compliance program within the Investment Banking department. Fulfil the role of MLRO (SMF 17), ensuring regulatory requirements are adhered to. Implement and manage regulatory risk assessments and audits. ...
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