Head of Compliance & MLRO
Core
Lead the UK Compliance and Financial Crime frameworks for a global trading platform, serving as the principal point of contact with the FCA and law enforcement.
Role type
Senior Manager (SMF16/SMF17) Compliance & MLRO
Builds
Independent second-line compliance and financial crime oversight for a UK trading entity
Domain
Financial Services / Fintech / Trading
Deliverable
client delivery
Required skills
FCA Senior Manager Function approval (SMF16/SMF17), leading compliance functions in FCA-regulated investment firms, horizon scanning for regulatory change, managing regulatory returns and breach registers, overseeing investigations into regulatory breaches and financial crime, designing and delivering regulatory training, mentoring compliance teams, stakeholder management across risk, legal, and audit functions
Preferred skills
experience in retail investment services, CFDs, spread betting, brokerage, fintech, payments, or electronic money
Technologies
FCA SMCR framework, EMIR, MiFIR, CASS, OFSI sanctions regime, DAML SARs
Responsibilities
Lead the UK Compliance Framework including policies, governance, and controls for Consumer Duty, market abuse, and transaction reporting; Act as the primary point of contact with the FCA and UK law enforcement; Receive, assess, and decide on internal Suspicious Activity Reports (SARs) and determine escalation to the National Crime Agency; Oversee the implementation of AML, CTF, and CPF frameworks including customer due diligence and transaction monitoring; Lead the UK Compliance team and manage its performance and development; Prepare and present regular compliance and financial crime reports to the UK Board and governance committees.
Seniority
Senior Manager, strategic leadership & operational oversight