Head of Compliance

2 weeks ago

London, United Kingdom eFinancialCareers Full time

**Company Description**

China Merchant Securities (UK) Limited (“CMS UK”) is part of the China Merchants Securities group and is authorised and regulated by the FCA in the UK. CMSUK provides advisory and research services through stock markets and fixed income markets coveringMainland China, Hong Kong and Europe.

CMSUK is looking for a Head of Compliance & Money Laundering Reporting Officer (MLRO) who will hold the SMF 16 and SMF 17 functions according to the FCA's requirements and report to the CEO. You will work per week and drive implementation of compliance control,processes and required operations to meet all our regulatory compliance obligations and maintain and effective Compliance program. The role is initially a part time role and works 2.5 days/week.

**You Will**
- Act as the Firm's nominated compliance officer SMF 16 and the MLRO SMF 17.
- Drive a culture of compliance across the business.
- Develop and Maintain existing Compliance processes and ensure the implementation of appropriate controls that reflect business and regulatory requirements.
- Ensure accurate responses and reports to the Regulator.
- Work with all relevant partners, financial institution partners and regulatory authorities
- Conduct compliance review and analysis of new regulatory developments and maintain oversight of developments affecting business activities.
- Prepare reports to senior management and the Board of Directors to communicate all relevant compliance issues and escalate any important or high-risk compliance issues
- Work with internal teams (such as Internal Audit) to identify clear steps necessary to avoid regulatory risks and provide solutions.

**Qualifications**
- 8+ years of Financial Services Compliance exposure (Equity advisory and research experience desirable), having previously held the SMF 16 and SMF 17 roles or having the experience to take that step up.
- Operational knowledge in running a sound compliance programme, with hands-on knowledge and an understanding of regulatory requirements for the UK
- Demonstrated ability to communicate effectively with senior management and third-party stakeholders.
- Ability to build collaborative working relations with peers, colleagues and with remote based teams with individuals at all levels of the organisation.
- Chinese language skills desirable but not essential.

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