Robert Half is proud to partner with a pioneering corporate bond firm in London that is revolutionising the multi-trillion-dollar corporate bond market with its innovative fractional bond product.
We are excited to assist in finding their next Head of Compliance & MLRO (SMF 16/17), who will play a critical role in steering the firm through its continued growth and regulatory excellence.
The role
This role requires authorisation (or approval) from the FCA and will be an SMF16 (Chief Compliance Officer) and SMF17 (MLRO) role, subject to requirements under the FCA's Senior Managers and Certification Regime (SMCR). While current authorisation for SMF16/17 is not mandatory, this position offers an excellent opportunity for those looking to advance their compliance career into a senior leadership role.
Compliance Advisory
- Overseeing the day-to-day implementation of the compliance programme and undertaking regular compliance monitoring, surveillance, and reporting activities.
- Assisting in the authoring, implementation, training and testing of controls i.e., policies, and procedures.
- Responsibilities will also include CASS oversight including relevant Prescribed Responsibility and coordinating the annual CASS Audit.
- Familiarity with the FCA Financial Promotions rules and signing off marketing and promotions.
- Provide qualitative advice on a full range of compliance and legal issues associated with the regulatory obligations including in relation to regulatory change.
- Acting as contact person for the employees regarding compliance issues and providing input to reporting and communication on compliance matters to senior management and the Board.
- Assigning and tracking staff training (mandatory onboarding and annual refresher) related to ensuring compliance with the Firms' policies and procedures.
- Coordinate annual internal and external audit requests.
- Conducting AML and KYC reviews on clients and counterparts as required.
- Assisting and coordinating new initiatives including those that involve business change and applications to the FCA (or other regulator(s)).
Compliance Reporting
- Monthly reporting of CMAR under the CASS regime.
- Overseeing compliance with and coordinate regulatory filings, Consumer Duty maintenance, periodic FCA reporting obligations,
- Oversight of data protection (GDPR) requirements in co-ordination with other members of the business.
- Any experience with a variety of fintech and investment management structures including the UK, European, and their relevant regulatory and reporting requirements will be advantageous.
Requirements:
- Familiarity with the non-readily realisable rules for restricted mass market investments.
- 5-7 years of senior compliance or risk experience in a fixed income or P2P lending or crowd funding firm will be advantageous.
- Client Asset Servicing and Custody Experience (CASS).
Benefits:
Salary- £90K - £95K
Hybrid- 3 days in the office
- **Please note this role does not offer sponsorship to work in the UK.
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