Part-Time Head of Compliance, Risk & MLRO – Wholesale Securities Broking Experience Required
Core
Oversee all UK Compliance, AML, and risk management for a small UK Wholesale Securities Brokerage Office, reporting to the Board and CEO.
Role type
Senior IC Head of Compliance, Risk & MLRO
Builds
Compliance frameworks, risk management arrangements, and regulatory reporting for a wholesale securities brokerage.
Domain
Financial Services / Wholesale Securities Broking / UK Regulatory Compliance
Required skills
Regulatory advice, AML advice, risk exposure management, compliance risk identification and assessment, regulatory and AML risk assessments, compliance manual and policy updates, suspect transaction reporting, compliance strategy development, coordination with regulators and auditors, external legal/compliance sourcing.
Preferred skills
Risk management experience, experience as a registered SMF16 for a Wholesale Securities Broker.
Technologies
N/A
Responsibilities
Report to the Board on compliance, AML, and risk management arrangements; provide regulatory and AML advice on evolving changes and new business activities; set and manage risk exposures proportionate to business size and nature; identify, assess, and monitor compliance risks; perform periodic risk assessments and monitoring reviews; assess the adequacy of existing measures and procedures; update compliance manuals, policies, and procedures; oversee procedures for capturing 'suspect' transactions and reporting to authorities; update the compliance strategy and monitoring programme; coordinate with Group compliance, internal audit, local regulators, and external auditors; source and approve external legal or compliance support.
Seniority
Senior, hands-on IC
