Head of Compliance & MLRO - London

Ctrl Alt is a leading tokenization infrastructure platform, combining groundbreaking technology with expert financial engineering to deliver tailored, compliant solutions in the alternative assets space. Specializing in structuring, issuance and distribution, Ctrl Alt supports clients through every stage of the tokenization lifecycle. Since launching in 2022, Ctrl Alt has tokenized over $325m in assets, spanning real estate, private credit, funds, litigation finance and more. With offices in the UK, Ireland and the UAE, the Ctrl Alt team comprises top-tier financial, product and technology experts including alumni from Morgan Stanley, Credit Suisse, UBS and Revolut. Ctrl Alt is backed by leading VCs and financial institutions including Molten, MiddleGame Ventures and SEI.

To support the buildout of its activities within the UK, Ctrl Alt is seeking an organised and experienced Compliance professional who will assume the SMF 16 (Compliance Oversight) and SMF 17 (Money Laundering and Reporting Officer). As Ctrl Alt’s Compliance Officer, you will help manage the UK authorisation process and its activities within the Bank of England and FCA’s Digital Securities Sandbox (DSS). You will play a critical role in designing and implementing the compliance framework for Ctrl Alt’s alternative assets business. Reporting directly to the CEO of the UK entity, the execution of the day-to-day SMF responsibilities, and working closely with the C-suite, you will be responsible for driving the compliance culture, overseeing regulatory obligations, and ensuring adherence to applicable legislation and group policies.

Key Responsibilities

• DSS Activities: Leading Ctrl Alt through the application process of Gate 2 to enable the firm to test tokenization structures within the Sandbox;
• FCA Authorisation: Leading Ctrl Alt’s MiFID authorisation process by being the primary contact for the FCA and where required, outside counsel. You will be responsible for engaging relevant stakeholders through the FCA authorisation process, preparing the required application and associated policies, procedures and other required documents; and responding to follow-up questions from the FCA;
• AML Framework: Build, implement and manage Ctrl Alt’s AML program and partnering with the business to ensure compliance efforts are integrated;
• Regulator Interactions: Manage Ctrl Alt’s regulatory reporting obligations with the FCA;
• AML/CTF: Ensure that all Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing requirements are met and that reasonably designed counterparty onboarding programs are in place;
• Policy Development and Training: Develop and maintain policies and procedures compliant with UK regulatory standards Design and deliver ongoing training to Ctrl Alt’s staff;
• Management Reporting: Prepare and deliver periodic reporting to management and Ctrl Alt’s Board of Directors;
• Monitoring / Testing: Overseeing and direct monitoring and testing of policies and processes to ensure regulatory standards are being met;
• Risk Management: Manage the business continuity framework to ensure operational resilience; and Provide oversight of onboarding third parties and ensure regulatory reporting requirements to the FCA are met. Manage other conduct and compliance risks.

Who are we looking for?

• 5 - 7 years working in a regulated firm in a senior Compliance role or MLRO role;
• MiFID experience is considered an advantage;
• Significant experience in all aspects of UK compliance standards, AML/CTF/ FS including customer onboarding, KYC refresh, customer risk assessments, business wide risk assessments, screening, transaction monitoring, suspicious transaction reporting etc;
• An understanding of the UK AML/CFT/FS regulatory landscape;
• Prior experience engaging with the FCA and/ or the Bank of England;
• Good knowledge and understanding of UK AML/CTF/FS requirements;
• Excellent written and verbal communications skills;
• Has the ability to operate with a limited level of direct supervision;
• Able to demonstrate the ability to lead a compliance function and be a force for good within the firm's culture;
• Able to adapt to the demands of a fast paced innovative firm and being comfortable with dealing with new technical areas;
• Previous experience as an approved SMF;
• Familiarity with global regulatory frameworks.

Benefits

• Generous stock options, with equity plans that let you share in the company’s growth;
• Private health insurance - we offer a premium private health insurance scheme (UK/IRE only);
• We offer 24 days annual leave plus public holidays, with flexibility for additional time off;
• IT and office equipment to support your work, including a MacBook, displays and accessories;
• Salary sacrifice scheme and financial tools to help you with your personal finances, covering childcare, groceries, tech, pensions, bikes and subscriptions (UK only);
• A state of the art central office in London;
• An annual learning and personal development budget for training, exams, certifications, qualifications or anything else which helps you progress at work and your career;
• The opportunity to work in a high-growth startup where your contribution matters and shapes an industry;
• Exposure to collaborative working and direct knowledge sharing from experts across financial services, blockchain and fintech.

How to Apply

Simply hit apply below, where you will be redirected to a form to fill out all relevant details. You will be asked to upload a CV and Cover Letter.