At a Glance
- Tasks: Lead compliance and AML functions, ensuring adherence to FCA regulations.
- Company: A dynamic UK FCA-regulated trading company with a focus on compliance.
- Benefits: Hybrid working model, competitive compensation, and direct access to the Board of Directors.
- Other info: Opportunity for career growth and collaboration with senior management.
- Why this job: Shape the compliance culture and make a significant impact in a leading financial firm.
- Qualifications: Proven experience as Head of Compliance or MLRO in FCA-regulated environments.
The predicted salary is between 80000 - 100000 £ per year.
A UK FCA-regulated trading company is seeking a seasoned Head of Compliance / MLRO to lead its compliance and AML functions. This is a senior leadership role responsible for maintaining a robust regulatory framework, ensuring adherence to FCA and AML requirements, and fostering a culture of compliance across all business areas. The successful candidate will act as the primary point of contact with regulators and senior management, ensuring the firm’s operations remain compliant, efficient, and well-governed.
Location: Hybrid – London
Responsibilities:
- Oversee the design, implementation, and maintenance of the firm’s Compliance Monitoring Programme.
- Act as the company’s FCA liaison, managing all regulatory communications and filings.
- Prepare and present quarterly compliance and MLRO reports to the Board of Directors.
- Supervise client onboarding and KYC/AML procedures, ensuring adherence to FCA standards.
- Lead the rollout of new governance and compliance requirements as mandated by regulators.
- Define and monitor country risk parameters for AML and due diligence processes.
- Approve all marketing and communication materials to ensure regulatory accuracy.
- Manage escalated client complaints and ensure proper resolution in line with FCA guidelines.
- Maintain and update ICAAP documentation and ensure ongoing compliance with prudential standards.
- Collaborate closely with the CEO, COO, and other department heads on compliance-related matters.
- Conduct periodic website and content reviews to maintain compliance integrity.
- Partner with external AML and payment system providers, overseeing integration and controls.
- Regularly review and update company policies, procedures, and compliance manuals.
- Support HR in staff training and annual attestations related to AML and compliance awareness.
- Provide expert guidance on regulatory developments, ensuring proactive adjustments to internal frameworks.
Requirements:
- Proven track record as Head of Compliance or MLRO within an FCA-regulated FX/CFD or financial services environment.
- In-depth understanding of UK regulatory frameworks, including FCA, AMLD, and SYSC principles.
- Strong technical knowledge of client onboarding, financial promotions, and transaction monitoring.
- Exceptional communication skills with the ability to engage senior stakeholders and regulators.
- Demonstrated integrity, sound judgment, and a proactive approach to regulatory governance.
- Ability to lead a compliance department and drive a culture of transparency and accountability.
Benefits:
- Base compensation with hybrid working model.
- Direct access with BoD and manage the group's compliance department.
- Benefits following UK banking institutions.
Note: Please understand that due to the current confidential nature of the search, we are currently unable to disclose the client's name or full company details at this stage. We will share the comprehensive information about the role and the organization only with candidates who are officially shortlisted for an interview. Thank you for your patience and understanding.
Head of Compliance / MLRO employer: Hireroo
As a leading UK FCA-regulated trading company, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises compliance and integrity. Our hybrid working model allows for flexibility while providing direct access to the Board of Directors, ensuring that our employees are empowered to make impactful decisions. With a strong focus on professional development and adherence to regulatory excellence, we offer our team members meaningful opportunities for growth in a supportive environment located in the vibrant city of London.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance / MLRO
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial services sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and AML requirements. Be ready to discuss how you've implemented compliance frameworks in the past. Show them you’re not just a candidate, but the right fit for their leadership team.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation and reiterate your interest in the role. It keeps you fresh in their minds and shows your enthusiasm.
✨Tip Number 4
Apply through our website for a smoother process! We’ve got all the resources you need to make your application stand out. Plus, it shows you’re serious about joining our team and helps us keep track of your application.
We think you need these skills to ace Head of Compliance / MLRO
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Head of Compliance / MLRO role. Highlight your experience with FCA regulations and AML compliance, as well as any leadership roles you've held. We want to see how your background aligns with what we're looking for!
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 position. Share specific examples of your past achievements in compliance and how you can contribute to our culture of compliance at StudySmarter.
Showcase Your Communication Skills:As a senior leader, communication is key. In your application, demonstrate your ability to engage with stakeholders and regulators. We love candidates who can convey complex information clearly and effectively, so don’t hold back!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates directly from us. Plus, it shows you're keen on joining the StudySmarter team!
How to prepare for a job interview at Hireroo
✨Know Your Regulations
Make sure you brush up on the latest FCA and AML regulations. Being able to discuss these in detail will show that you're not just familiar with the rules, but that you can apply them effectively in a leadership role.
✨Prepare Real-Life Examples
Think of specific instances where you've successfully implemented compliance measures or resolved regulatory issues. Sharing these stories will demonstrate your hands-on experience and problem-solving skills.
✨Engage with Stakeholders
Be ready to discuss how you've collaborated with senior management and other departments in the past. Highlighting your communication skills and ability to foster a culture of compliance will resonate well with interviewers.
✨Show Your Leadership Style
As a Head of Compliance, your leadership approach is crucial. Be prepared to talk about how you lead teams, drive accountability, and ensure transparency within the compliance department. This will help them envision you in the role.
