Head of Legal and Compliance

Compliance Professionals; Greater London; On-site; GBP 50,000 - 90,000; Full time

Job summary

An established industry player in financial services is seeking a dynamic Compliance Lead to manage AML teams and ensure regulatory compliance. This pivotal role involves leading the drafting and implementation of policies, liaising with regulatory bodies, and acting as the Money Laundering Reporting Officer. The ideal candidate will have extensive experience in compliance and AML within a brokerage environment, showcasing strong leadership and analytical skills. Join a rapidly growing firm where your expertise will drive a culture of excellence and accountability, making a significant impact in the financial sector.

Qualifications

• Experience in legal, compliance, and AML roles within financial services.
• Current or recent experience as SMF16/SMF17.

Responsibilities

• Lead and manage Compliance and AML teams, ensuring accountability.
• Draft and implement comprehensive policies for compliance activities.

Skills

Analytical Skills

Leadership Skills

Communication Skills

Attention to Detail

Interpersonal Skills

Education

Strong academic background

Tools

Regulatory Compliance Software

Job description

2 days ago Be among the first 25 applicants

Our client is a successful and rapidly growing financial services firm.

THE RESPONSIBILITIES:

• Lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17.
• Ensure compliance with all relevant laws and regulations.
• Liaise with regulatory bodies.
• Ensure all regulatory filings and reports are accurate and submitted on time.
• Lead the drafting, review, and implementation of comprehensive policies and procedures for legal, compliance, and AML activities.
• Regularly review and update policies to reflect changes in regulatory requirements, incorporating changes into the firm’s procedures and processes effectively.
• Draft and review key contracts, agreements, official responses to customer disputes and other legal documents.
• Stay abreast of legal developments and advise the business on potential impacts.
• Act as the Money Laundering Reporting Officer (MLRO) for the company.
• Develop and implement AML policies and procedures.
• Conduct AML risk assessments and ensure effective AML controls are in place.
• Report suspicious activities to the relevant authorities and maintain records of such reports.
• Provide AML training and guidance to staff.
• Lead the end-to-end customer complaints process, ensuring timely and effective resolution.

EXPERIENCE REQUIRED:

• Strong academic background demonstrating analytical ability and capacity for handling complex regulatory frameworks.
• Current or recent experience as SMF16/SMF17.
• Extensive experience in legal, compliance, and AML roles, within the financial services space - ideally from a brokerage environment.
• Strong leadership and management skills.
• Excellent communication and interpersonal skills.
• First class levels of attention to detail and an excellent ability to accurately and coherently articulate points and arguments.

Seniority level

Not Applicable

Employment type

Full-time

Job function

Finance

Industries

Financial Services and Securities and Commodity Exchanges