Head of Legal and Compliance

1 day ago


Hertfordshire UK, Eastern England, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is successful and rapidly growing financial services firm.








THE RESPONSIBILITIES:


  • Lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17.
  • Ensure compliance with all relevant laws and regulations
  • Liaise with regulatory bodies
  • Ensure all regulatory filings and reports are accurate and submitted on time.
  • Lead the drafting, review, and implementation of comprehensive policies and procedures for legal, compliance, and AML activities.
  • Regularly review and update policies to reflect changes in regulatory requirements, incorporating changes into the firm’s procedures and processes effectively.
  • Draft and review key contracts, agreements, official responses to customer disputes and other legal documents
  • Stay abreast of legal developments and advise the business on potential impacts.
  • Act as the Money Laundering Reporting Officer (MLRO) for the company.
  • Develop and implement AML policies and procedures.
  • Conduct AML risk assessments and ensure effective AML controls are in place.
  • Report suspicious activities to the relevant authorities and maintain records of such reports.
  • Provide AML training and guidance to staff.
  • Lead the end-to-end customer complaints process, ensuring timely and effective resolution.













EXPERIENCE REQUIRED:


  • 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.













For further information please contact Natalie Eshelby


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