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Head of Compliance & MLRO

Salary £80k to £120k
Type Permanent
Location London
Sector Compliance
Job Reference T3A/AXP/27188
Contact Adam Pollard
Date posted 11-10-2017

Our client is a global brokerage firm looking for a Head of Compliance (CF10 and CF11) for their Compliance department in London. A successful candidate will have extensive regulatory experience within financial services, particularly within brokerage, and will be an influential manager of people.

As head of compliance, key responsibilities will include:
• Generally overseeing the entire compliance operation within the firm
• Managing communications with regulatory bodies, and reporting to them on issues involving regulatory risk
• Managing the escalation of compliance issues, and analysing findings in order to best prevent reoccurrence
• Acting as the Money Laundering Reporting Officer
• Managing regulatory training and ensure Approved Persons are sufficiently qualified for their duties
• Taking responsibility for the prevention of financial crime, and reporting suspicious behaviour appropriately

Required skills and experience:
• Extensive experience within the regulatory area of financial services in the UK, ideally with knowledge of the area in Switzerland, Spain and/or Hong Kong.
• Excellent communication skills
• Strong analytical and multi-tasking skills

For more information please contact Adam Pollard on 02031453348 or

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Associate, Consultant