Role details

Head of Compliance & MLRO

England   •   £100,000 - £150,000   •  Permanent

Bullet points

  • Head of Compliance & MLRO
  • Bonds and MTF

About Our Client

Highly successful fixed income trading platform in the US and is focused on and investing in achieving similar success in Europe.

Job Description

*Development and maintenance of a fit-for-purpose, scalable and robust compliance function
*Advising the London Management Team regarding the needs and obligations of compliance across trading and post trade businesses in Europe and Asia
*Create and manage a compliance monitoring program for Europe and Asia
*Responsibility for client onboarding, KYC and AML (as MLRO) for Europe and Asia
*Manage, co-ordinate and deliver applications for regulatory status in advance of MIFID II/ MiFIR
*Responsible for Market Monitoring for the MTF (surveillance) in accordance with FCA expectations
*Responsible for all ongoing regulatory filings within the EU and Asia in accordance with licensing requirements
*Ensuring all relevant regulators are notified of exceptional matters of which they ought to be aware
*Manage and report annual compliance reviews for each regulated entity
*Responding to client/ third party surveys and queries about our compliance policies and procedures
*Manage responses to regulatory enquiries
*Supervision of Gabriel & Connect reporting, FCA annual filings, close links reports to the FCA
*Management of the firm's approved persons program
*Data Protection Officer for the firm
*Responsibility for compliance with HMT and OFAC Sanctions (as MLRO)

Person Specification:

Knowledge/Experience

Extensive senior level compliance experience within the financial services industry in the UK, ideally in an MTF or Regulated Market, or in post trade
Demonstrable experience of working with, and building relationships with the FCA
Familiarity with FCA handbook, Market Abuse and surveillance regulations and expectations, ( in particular in fixed income), TRUP, EU data protection, & privacy laws, and other relevant EU financial services regulations across the trade cycle of all asset classes
Excellent grasp of trade cycle, market infrastructure, post trade environment and transaction reporting for all asset classes
Experience with the creation, implementation and monitoring of compliance policies and controls
Experience of making applications for regulatory status to a UK regulator

Skills/Personal Requirements

BA degree or legal background preferred
Ability to anticipate compliance requirements relevant to our business
Ability to take a purposive approach to the interpretation of rules and regulations
Ability to communicate effectively and interact professionally in person and on paper
Self-starter, able to work independently, proactively, and to approach compliance issues with a commercial mind-set
Collaborative, efficient, and hands-on
Ability to work within a nimble business environment and a small team

The Successful Applicant

Extensive senior level compliance experience within the financial services industry in the UK, ideally in an MTF or Regulated Market, or in post trade
Demonstrable experience of working with, and building relationships with the FCA
Familiarity with FCA handbook, Market Abuse and surveillance regulations and expectations, ( in particular in fixed income), TRUP, EU data protection, & privacy laws, and other relevant EU financial services regulations across the trade cycle of all asset classes
Excellent grasp of trade cycle, market infrastructure, post trade environment and transaction reporting for all asset classes
Experience with the creation, implementation and monitoring of compliance policies and controls
Experience of making applications for regulatory status to a UK regulator

What's on Offer

a senior compliance offer with a highly competitive compensation package on offe

Apply for this job

Click the Apply or LinkedIn button below or contact Sumrana Saleem on +44 207 645 1469 quoting job reference 13460067
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