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    Head of Compliance - London, United Kingdom - Broadgate

    Broadgate
    Broadgate London, United Kingdom

    2 weeks ago

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    Description


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

    ResponsibilitiesAssume the regulatory responsibility of SMF 16 and SMF 17Assume and retain ownership for the design, development and execution of the Compliance Programme and supporting Monitoring PlanDevelopment of policies and procedures and provide oversight and training, across functions, to ensure that these are embeddedDevelopment and delivery of second line assessments, such as the annual compliance plan, to ensure that frameworks, policies and procedures are operating as intendedDemonstrate the ability to make practical recommendations that are proportionate to the businessWorking 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 businessObtain 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 compliantProvide 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 authoritiesUndertake 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 mannerMaintain oversight and sign off on behalf of Compliance on product and marketing material as well as client communicationsAs MLRO, have specific responsibility for:

    Owning the financial crime framework and associated policiesDriving, developing and maintaining an effective anti-money laundering and counter-terrorist financing compliance cultureConsulting 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 complexityEnsuring 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 regulationsEnsuring 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.

    Experience5+ years' experience leading a Compliance function in the financial services sector, preferably in the Corporate Finance, or financial services sectorExperience of interacting, communicating with and presenting to Senior Management and Boards is desirableExperience working within commercial lending entities is desirableKnowledge of the regulatory framework including the client asset rules (CASS)Knowledge of key compliance, AML and regulatory topicsExperience acting as an MLROQualificationsSolid 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 businessPlease forward your cv for consideration, and confidential chat
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