Head of Compliance & MLRO (SMF16 & SMF17)

We're looking for a candidate to fill this position in an exciting company.

• Reporting directly to the CEO, you ll be responsible for ensuring the business and it s Appointed Representatives comply with all statutory and regulatory obligations, including those under SMCR. You ll design and implement the Compliance Monitoring Plan and undertake regular horizon scanning to identify emerging risks and potential areas of non-compliance, providing advice on appropriate mitigating actions.
• AS MLRO you ll receive and evaluate reports of any suspicious activity, reporting to the NCA if required. You ll also oversee the implementation of AML and CTF policies and procedures and conduct an annual AML risk assessment across all business activities.

You ll either be an experienced Head of Compliance / Compliance Officer (SMF16/17) or someone ready to step into their first such role. You ll have gained this experience within retail investments, insurance or corporate finance and must understand the need to balance strong governance with commerciality. After all you ll be helping the business achieve its ambitious growth plans!