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HEAD OF COMPLIANCE AND MLRO-Wealth Manager/Brokerage -London

Posted 10 March by AJB Executive Search Limited Ended


Our client is a Wealth Manager and brokerage firm. They are seeking an experienced compliance professional to act as the Head of Compliance and MLRO and be responsible for the compliance department. This role will incorporate daily compliance/risk duties across the business and will also be co-leading an ongoing MiFID II project/EMIR/Senior Management regime

Knowledge and understanding of the requirements for MIFID II/EMIR/Senior Management Regime

  • Strong MiFID II knowledge, especially around trading and market structure (MTF, OTF, OR SI)
  • Ability to draft the necessary policies and procedures to reflect the new requirements or to update existing policies
  • Supporting the training of staff at all levels
  • Desire to take over the CF10/CF11 function
  • Working closely with other teams, Operations and front office.
  • Liaise with and provide guidance to the front office on compliance issues
  • Prepare reports for management giving independent and objective assurance on adherence to regulatory standards and on the effectiveness of controls in place
  • Provide a regulatory advisory service to the business on regulatory requirements
  • Prepare compliance board reports
  • Monitor changes in business practices and products to ensure that compliance procedures and controls are adequate to cover them
  • Maintain the firm's Compliance manual & AML Procedures and ensure that they are effectively communicated
  • Assist with risk management issues e.g. identifying and completing Operational Risk events
  • Ensuring that regulatory reporting and filing is completed accurately via Gabriel and other filing conduits
  • Maintain professional development
  • Knowledge and Expertise in aspects of regulatory regime such as CASS requirement


The successful candidate will;

  • Be well educated with a degree and possibly a professional qualification or legal background and a good understanding of investment
  • A minimum of 5 years Compliance experience within wealth management or brokerage and also have current AML experience
  • Sound knowledge of the relevant sections of the FCA Handbook/EBA requirements
  • Possess strong interpersonal skills and a great team player and able to work in a small compliance department.
  • Capable of meeting strict deadlines

Required skills

  • Compliance
  • Risk
  • Anti Money Laundering

Reference: 34655032

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