At a Glance
- Tasks: Lead compliance strategy and manage regulatory risks in a dynamic brokerage environment.
- Company: A vibrant retail FX brokerage firm with a focus on innovation and compliance.
- Benefits: Competitive salary, professional development, and a chance to shape compliance culture.
- Other info: Join a proactive team dedicated to excellence in compliance and risk management.
- Why this job: Make a real impact in the financial services sector while advancing your career.
- Qualifications: Senior compliance experience in financial services and strong regulatory knowledge required.
The predicted salary is between 75600 - 92400 £ per year.
THE COMPANY
Our client is a dynamic retail FX brokerage firm, seeking a Head of Compliance and Deputy MLRO to hold overall responsibility for identifying, monitoring, and managing key regulatory risks.
THE RESPONSIBILITIES
- Governance & Leadership: Serve as an active member of the Risk Committee and Management Committee.
- Strategic Compliance Planning: Design, implement, and maintain a compliance strategy that aligns with regulatory expectations and supports the firm’s strategic objectives.
- Regulatory Liaison & Horizon Scanning: Maintain positive relationships with regulatory bodies
- Control Framework & Risk Management: Monitor, assess, and continuously improve non-financial regulatory compliance systems and controls.
- Identify operational and regulatory risks, implementing prompt remediation plans as needed
- MLRO Support & Client Onboarding: Act as Deputy MLRO and the primary escalation point for AML, Know Your Customer (KYC), and account opening queries.
- Streamline client onboarding to balance commercial efficiency with strict regulatory standards.
- Advisory & Specialist
Oversight: Review and approve Financial Promotions, oversee end-to-end complaint handling processes, and provide expert guidance on consumer protection and market conduct requirements.
- Reporting & Metrics: Prepare, analyse, and present key compliance and risk metrics to governance committees and global executive leadership.
- Culture & Training: Promote a proactive compliance culture across the organization by delivering regular, high-impact training on AML, regulatory standards, internal policies, and ethics.
EXPERIENCE REQUIRED
- Industry & Product
Expertise: Proven track record in a senior compliance leadership role within financial services, specifically covering retail FX and over-the-counter (OTC) leveraged derivatives (CFDs).
- Regulatory Expertise: Deep operational knowledge of the Financial Conduct Authority (FCA) handbook, UK/EU financial regulations, and AML/CTF frameworks.
- Education & Credentials: Bachelor’s degree required (Business, Law, or Finance preferred); relevant professional designations ("e. g., ICA, CISI") are highly regarded.
- Pragmatic
- Problem
Solving: Demonstrated ability to evaluate complex issues with a balanced, business-oriented approach - enabling the firm to manage risk effectively while realizing commercial opportunities.
- For further information please contact Natalie Eshelby
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Head of Compliance and Deputy MLRO in London employer: Compliance Professionals
As a leading wealth management firm in Greater London, we pride ourselves on fostering a collaborative work environment that prioritises compliance excellence and professional growth. Our commitment to employee development is reflected in our comprehensive training programmes and supportive culture, making us an ideal employer for compliance professionals seeking meaningful and rewarding careers in the financial services sector.
