Chief Compliance & MLRO (Regulatory Oversight)

Mphasis; Basingstoke; On-site; GBP 120,000 - 180,000; Full time

Job summary

Mphasis UK Ltd. seeks a Head of Compliance, Compliance Oversight and Money Laundering Reporting Officer (SMF16 & SMF17) to provide independent oversight of regulatory compliance and AML/CTF controls in the UK.

The role interfaces with the Managing Director and the Board to ensure effective governance and risk management. You will lead the Compliance Oversight function, monitor FCA rules, Consumer Duty and SMCR, and coordinate with the Appointed Representative network to deliver strong customer

Qualifications

• Significant FCA-regulated financial services experience.
• Strong knowledge of the FCA Handbook (CONC, SYSC, DISP, Consumer Duty, SMCR).
• Experience developing, implementing or monitoring compliance frameworks.
• Experience with regulatory risk assessments and monitoring.
• Good understanding of AML, sanctions and financial crime requirements.
• Ability to present regulatory matters to senior management.
• Eligibility to obtain FCA approval as SMF16 and SMF17.

Responsibilities

• Lead the firm's Compliance and Financial Crime function with independent oversight.
• Act as SMF16 (Compliance Oversight) and SMF17 (MLRO) subject to FCA approval.
• Develop and maintain a risk-based Compliance Monitoring Programme.
• Provide independent regulatory advice and challenge to senior management.
• Oversee Consumer Duty framework and monitor customer outcomes.
• Ensure governance of Appointed Representative and outsourced activities.
• Report material regulatory risks to the Board and authorities as needed.
• Promote a strong culture of compliance and ethical conduct across the organisation.

Skills

Regulatory Expertise

Leadership Skills

Analytical Thinking

Communication Skills

Commercial Awareness

Governance Skills

Education

Degree or equivalent

Compliance qualification

AML/Financial Crime qualification desirable

Job description

Mphasis UK Ltd. seeks a Head of Compliance, Compliance Oversight and Money Laundering Reporting Officer (SMF16 & SMF17) to provide independent oversight of regulatory compliance and AML/CTF controls in the UK.

The role interfaces with the Managing Director and the Board to ensure effective governance and risk management. You will lead the Compliance Oversight function, monitor FCA rules, Consumer Duty and SMCR, and coordinate with the Appointed Representative network to deliver strong customer