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- Tasks: Lead compliance and financial crime frameworks, ensuring adherence to regulations and managing risks.
- Company: A prestigious bank located in the heart of London.
- Benefits: Attractive salary, career development opportunities, and a dynamic work environment.
- Other info: Opportunity to mentor a team and shape the future of compliance in banking.
- Why this job: Make a significant impact in compliance and data protection within a leading financial institution.
- Qualifications: Extensive banking experience in compliance, AML, and strong regulatory knowledge required.
The predicted salary is between 130000 - 150000 £ per year.
City of London
Permanent £130,000 - £150,000
cer Financial are working alongside a bank, who are based in the City of London. They are seeking a Head of Compliance and MLRO / DPO (SMF16 and SMF17) to work with them on a permanent basis. The responsibilities of the candidate will include:
- Develop and maintain the Bank’s Compliance & Financial Crime Framework in line with FCA, PRA, and international standards (e.g. FATF).
- Ensure adherence to JMLSG guidance, sanctions regimes (OFAC, EU, HMT), and applicable laws.
- Act as primary liaison with regulators (FCA, PRA, NCA).
- Advise Senior Management on regulatory changes and business impact.
- Lead horizon scanning and maintain the Compliance Risk Appetite Statement.
- Ensure robust frameworks for TCF, conduct risk, and GDPR compliance.
- Act as MLRO, ensuring full AML/CTF compliance.
- Oversee AML frameworks (CDD, EDD, transaction monitoring, sanctions/PEP screening, SARs).
- Ensure timely SAR submissions to the NCA.
- Oversee AML risk assessments and remediation.
- Deliver AML training and awareness.
- Develop and maintain the Compliance Monitoring Plan (CMP).
- Conduct risk assessments on correspondent banking, high-risk clients, and transactions.
- Oversee transaction monitoring systems and risk escalation.
- Serve as Data Protection Officer (UK GDPR, DPA 2018).
- Act as main contact with the ICO.
- Oversee DPIAs, RoPA, DSARs, and breach reporting.
- Ensure governance over third-party data processors.
- Deliver data protection training and awareness.
- Present compliance, AML, financial crime, and data protection reports to committees and Board.
- Escalate material risks and breaches.
- Prepare Annual MLRO and Data Protection Reports.
- Support SMCR requirements.
- Lead, mentor, and develop the Compliance team.
- Support recruitment, onboarding, and performance management.
- Ensure adherence to internal policies, training, and operational resilience.
The successful candidate:
- Extensive UK banking experience in compliance, AML, and financial crime risk.
- Strong knowledge of FCA/PRA rules, AML/CTF, GDPR, and SMCR.
- Proven experience managing regulatory engagement, audits, and inspections.
- Experience in Private Banking, Correspondent Banking, or Trade Finance.
- AML certification (e.g. CAMS, ICA Diploma).
- Knowledge of operational resilience, ESG, and emerging regulations.
- Data protection certification (e.g. CIPP/E, CIPM).
Head of Compliance and MLRO / DPO (SMF16 and SMF17) in London employer: CER FINANCIAL LTD
Contact Detail:
CER FINANCIAL LTD Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance and MLRO / DPO (SMF16 and SMF17) in London
✨Tip Number 1
Network like a pro! Get out there and connect with industry professionals on LinkedIn or at events. We all know that sometimes it’s not just what you know, but who you know that can help you land that dream job.
✨Tip Number 2
Prepare for interviews by researching the company inside out. Understand their compliance framework and recent regulatory changes. We want to show them that you’re not just another candidate, but someone who’s genuinely interested in their mission.
✨Tip Number 3
Practice your answers to common interview questions, especially those related to compliance and AML. We can even do mock interviews together to help you feel more confident and ready to impress!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always looking for top talent to join our team, so let’s make it happen!
We think you need these skills to ace Head of Compliance and MLRO / DPO (SMF16 and SMF17) in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance and MLRO / DPO role. Highlight your extensive UK banking experience, compliance knowledge, and any relevant certifications. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention specific experiences that demonstrate your expertise in compliance, AML, and financial crime risk. Let us know what excites you about working with us!
Showcase Your Regulatory Knowledge: Since this role involves liaising with regulators like the FCA and PRA, make sure to showcase your understanding of their rules and regulations. We’re looking for someone who can navigate these waters smoothly, so don’t hold back on your insights!
Apply Through Our Website: We encourage you to apply through our website for a seamless application process. It’s the best way for us to receive your application and keep track of it. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at CER FINANCIAL LTD
✨Know Your Regulations Inside Out
Make sure you’re well-versed in FCA, PRA, and AML regulations. Brush up on the latest changes and how they impact the bank's operations. Being able to discuss these confidently will show that you’re not just familiar with the rules but can also apply them effectively.
✨Prepare Real-Life Scenarios
Think of specific examples from your past experience where you successfully managed compliance issues or regulatory challenges. Use the STAR method (Situation, Task, Action, Result) to structure your answers. This will help you demonstrate your problem-solving skills and practical knowledge.
✨Showcase Your Leadership Skills
As a Head of Compliance, you’ll need to lead and mentor a team. Be ready to discuss your leadership style and how you’ve developed teams in the past. Highlight any training initiatives you’ve implemented, as this shows your commitment to fostering a compliant culture.
✨Ask Insightful Questions
Prepare thoughtful questions about the bank’s current compliance challenges and future goals. This not only shows your interest in the role but also gives you insight into how you can contribute to their success. It’s a great way to demonstrate your proactive approach.