Head of Compliance & MLRO (SMF16 & 17)

Looking for your first Head of Compliance or SMF role? It can be tough to secure your first Head of Compliance role. And it’s even tougher when the market is tricky, and clients always seem to opt for the more experienced candidates. But this is a genuine opportunity to make that step up. And don’t worry if you’re already operating at this level, we’d love to hear from you too.

Operating in a standalone capacity initially, you’ll be working for a small Discretionary Investment Manager, with around £4bn AUM. You’ll oversee the management and ongoing development of a comprehensive Compliance Monitoring Plan, Operational Risk Control Self Assessments (RCSAs) and Internal Capital and Risk Assessment (ICARA) to ensure the business complies with all relevant laws and regulations. You’ll provide ongoing Compliance advice to the Board and also assist with the firm’s Risk Appetite Statement, Operational Risk and Liquidity Risk Management programmes.

In your capacity as MLRO you’ll review the adequacy of EDD, CDD, KYC and KYB other related processes as well as the overall AML/CTF framework and provide ongoing assessment of Financial Crime risks facing the business. You’ll be an experienced senior Compliance specialist with experience gained within the Investment Management arena. You’ll have a proven track record of senior stakeholder engagement as well as team management and development. Excellent communication, negotiating and influencing skills are essential. You must also be happy working in a hands-on manner – you’ll never be far from the coalface.

Does this sound like you? Are you up for the challenge? If so, click apply and send over your CV.

Location: Birmingham, West Midlands

Workplace: Hybrid Working

Reference: 415182