Exclusive – Head of Compliance & MLRO

Our client, a Global Brokerage firm, are looking to recruit a Head of Compliance & MLRO to take ownership of the compliance function and framework with direct accountability to the Board. If you have previously been responsible for CASS oversight too this would be advantageous.

Main Responsibilities:

• Design and run a risk-based compliance monitoring programme across conduct, client assets and financial crime, tracking findings to closure
• Act as the firm’s principal point of contact for the FCA, including supervisory correspondence
• Own regulatory reporting: MiFIR transaction reporting (firm as executing entity), RegData, CMAR and reporting quality reconciliation
• Own the Consumer Duty framework — annual Board assessment, fair value and target market assessments, and outcomes MI
• Deliver the annual compliance plan and Board compliance report, and turn regulatory change into a prioritised implementation plan
• Provide independent monitoring of the CASS framework owned by the SMF18 — reconciliation testing, breach identification and escalation, and CASS 10 resolution pack currency
• Current or previous SMF16 and/or SMF17 approval at an FCA-authorised firm
• Experience in a dealing-as-principal environment (ideally matched principal) and the conduct issues that follow: dealing capacity, best execution with mark-ups, and surveillance of the firm’s own trading
• Working knowledge of the FCA Handbook for a non-SNI MIFIDPRU investment firm — SYSC, COBS, CASS, MAR, DISP, SUP, MIFIDPRU and Consumer Duty
• Hands-on AML operations: risk assessment, CDD/EDD, screening, SAR decision-making and NCA submissions

Unless otherwise stated, candidates must have the right to work in the UK.

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