Head of Compliance CFD Brokerage in City of London

Job description

The purpose of the Head of Compliance and; MLRO role is to ensure that the organisation is fully

compliant with UK Laws and regulations and within the corporate governance guidelines; the

candidate will be acting as an adviser to the Board of Directors and Senior Management on general

compliance issues. The candidate will also ensure that all legal and regulatory risks are properly

managed, and the compliance culture is promoted throughout the company.

Roles and Responsibilities of the Candidate:

 SMF16 Compliance Oversight including relevant prescribed responsibilities

 SMF17 Money Laundering Reporting Officer (MLRO) – acting as the MLRO including receipt

assessment, and onward disclosure of SARs

 Legislations and regulations – keep up to date with any changes to UK Compliance

regulations and laws, issued via the FCA

 Compliance policies and procedures – ensure they are updated and adhered to

 AML/CFT policies and procedures - implementing and reviewing

 New business reviews – including high risk accounts and PEP approvals

 Transactional monitoring

 Regulatory approvals, appointment of UK individuals, maintaining the senior managers

regime

 Regulatory reporting, via Gabriel and Connect

Key Requirements:

 Strong knowledge of UK, European and Global investments and business regulations

 Excellent stakeholder management skills and the ability to develop strong relationships

internally and with third parties

 Previous experience working in similar positions within the Investment Banking or Brokerage

 Relevant training and qualifications within Investment Compliance

Extra information

Status

Open

Education Level

Secondary School

Location

City of London

Type of Contract

Casual / Part Time Jobs

Published at

12-11-2025

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English