Head of Regulatory Affairs and Risk Management

3 weeks ago


Hertfordshire, United Kingdom Compliance Professionals Full time

**Regulatory Expert Wanted: Head of Regulatory Affairs and Risk Management

We are a leading financial services firm seeking a highly skilled professional to oversee our regulatory affairs and risk management functions.

The ideal candidate will have extensive experience in legal, compliance, and AML roles, within the financial services space- ideally from a brokerage environment.

**Key Responsibilities:

  • Liaising with regulatory bodies to ensure compliance with all relevant laws and regulations.
  • Drafting and reviewing key contracts, agreements, official responses to customer disputes, and other legal documents.
  • Conducting AML risk assessments and ensuring effective AML controls are in place.
  • Providing AML training and guidance to staff.
  • Leading the end-to-end customer complaints process, ensuring timely and effective resolution.

**Requirements:

  • A strong academic background demonstrating analytical ability and capacity for handling complex regulatory frameworks.
  • Current or recent experience as SMF16/SMF17.
  • Extensive experience in legal, compliance, and AML roles, within the financial services space- ideally from a brokerage environment.
  • Strong leadership and management skills.
  • Excellent communication and interpersonal skills.
  • First-class levels of attention to detail and an excellent ability to accurately and coherently articulate points and arguments.

**Salary:** The estimated salary for this position is £120,000 - £180,000 per annum, depending on experience. We offer a competitive salary package that includes a performance-related bonus, health insurance, and a generous pension scheme.



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