Head of Compliance & MLRO

THE COMPANY:

We excited to be working with a growing brokerage firm. This is a great opportunity for a commercially minded experienced Compliance Officer/MLRO.

THE RESPONSIBILITIES:

• Keep the board aware of the Board on regulatory developments and how it will affect the firm’s business and controls.
• Provide regulatory advice to front‑office as well as operational teams on the application of regulations (e.g., MAR, MiFID II, FCA Handbook).
• Review and monitor intergroup trade / transaction booking arrangements.
• Develop and maintain compliance policies and procedures aligned with evolving regulatory expectations.
• Design and implement monitoring and testing plans to evaluate and enhance control effectiveness.
• Design and implement Risk matrixes for the Compliance department to feed into the monthly Risk & Compliance Meeting and the Board.
• Horizon scanning and reporting on any changes / enhance...