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    Head of Compliance - London, United Kingdom - Broadgate

    Broadgate
    Broadgate London, United Kingdom

    1 week ago

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    Description

    Head of Compliance / MLRO - Corporate Finance - £100,000-£120,000

    A newly created role based in the London, working for a corporate finance business who are looking for someone to help drive their compliance function forward, and to take on the SMF16 & SMF17 functions for the UK entity.

    Head of Compliance & MLRO (SMF16 and SMF17)

    The Role

    Our expanding Corporate Finance client is currently seeking an experienced Head of Compliance & MLRO to take responsibility for leading the compliance and conduct function and act as MLRO.

    This senior-level role holder will be responsible for the design, delivery, and execution of compliance, conduct, and financial crime frameworks.

    Responsibilities

    • Assume the regulatory responsibility of SMF 16 and SMF 17
    • Assume and retain ownership for the design, development and execution of the Compliance Programme and supporting Monitoring Plan
    • Development of policies and procedures and provide oversight and training, across functions, to ensure that these are embedded
    • Development and delivery of second line assessments, such as the annual compliance plan, to ensure that frameworks, policies and procedures are operating as intended
    • Demonstrate the ability to make practical recommendations that are proportionate to the business
    • Working with the commercial teams by sharing best practise, providing training and giving timely feedback to ensure compliance.
    • Actively contribute to embedding and promoting a compliance culture within the business
    • Obtain a good understanding of the business model and provide real time guidance and support to ensure that the product offering allows for good customer outcomes and that the business remains fully compliant
    • Provide strategic guidance to the business on how it should achieve its compliance objectives. Be comfortable reporting these insights at Executive Committee level and Board and Board sub committee level.
    • Have direct experience in dealing with regulators across a range of compliance topics and requirements. prepare and submit responses to information requests raised by regulatory authorities
    • Undertake ongoing horizon scanning of regulatory developments to identify and pre-empt forthcoming changes to the business compliance obligations and compliance risk profile, and ensure requirements are met in a timely manner
    • Maintain oversight and sign off on behalf of Compliance on product and marketing material as well as client communications

    As MLRO, have specific responsibility for:

    • Owning the financial crime framework and associated policies
    • Driving, developing and maintaining an effective anti-money laundering and counter-terrorist financing compliance culture
    • Consulting with senior management, to create and maintain the money laundering risk-based approach and the risk assessment of the firm's customers, products and services, proportionate to the business operations', scale, nature, and complexity
    • Ensuring the business risk management policies and risk profile, in relation to financial crime, are maintained and subject to review and approval on at least an annual basis and are compliant with current rules, laws and regulations
    • Ensuring that money laundering risk is considered in the business day-to-day operation, including in relation to the development of new products, the taking-on of new customers and changes in its business profile.

    Experience

    • 5+ years' experience leading a Compliance function in the financial services sector, preferably in the Corporate Finance, or financial services sector
    • Experience of interacting, communicating with and presenting to Senior Management and Boards is desirable
    • Experience working within commercial lending entities is desirable
    • Knowledge of the regulatory framework including the client asset rules (CASS)
    • Knowledge of key compliance, AML and regulatory topics
    • Experience acting as an MLRO

    Qualifications

    • Solid experience of UK regulatory risk management and compliance requirements plus extensive experience in compliance frameworks and implementation as per regulatory and best practice requirements obtained at a small-medium sized regional or local UK business

    Please forward your cv for consideration, and confidential chat

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