As the UK Head of Compliance, you will hold the SMF 16 designation and lead the compliance department, overseeing both regulatory compliance and Anti-Money Laundering/Know Your Customer (AML/KYC) initiatives. Your strategic vision and leadership will ensure that the firm operates in accordance with all legal and regulatory requirements and best practices, minimizing risk and upholding firm's reputation.

Key Responsibilities:
Regulatory Compliance Oversight: Ensure that all aspects of the firm’s operations are conducted in compliance with regulatory requirements, industry standards, and internal policies.
AML/KYC Supervision: Oversee the firm’s AML and KYC programs, ensuring identification, verification, and due diligence processes effectively mitigate risk.
Policy Development and Implementation: Develop, maintain, and revise policies and procedures for the operation of the compliance program and its related activities.
Training and Education: Implement an effective compliance training program, including appropriate introductory training for new employees and ongoing training for all employees and managers.
Risk Assessment and Mitigation: Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues.
Reporting and Documentation: Prepare, manage, and file requisite compliance and regulatory reports/documents with authorities.
Regulatory Relationships: Act as the firm’s primary point of contact with regulatory bodies, managing any audits, inquiries, or investigations.
Compliance Review: Develop an annual compliance work plan that reflects the organization’s unique characteristics; conduct periodic internal reviews.
Team Leadership and Development: Lead the compliance team, ensuring high standards, and professional development.
Stay Informed: Keep abreast of regulatory changes, new compliance issues, and best practices, adjusting the compliance program accordingly.
 

Qualifications:
Education: Bachelor’s degree in law, Finance, Business Administration, or related field; master’s degree or relevant professional certification (e.g., CISI, ICA, or ACAMS) preferred.

Experience:

Significant experience in a compliance role within the financial services industry, specifically within a broker-dealer or prime brokerage environment; extensive knowledge of UK regulatory environment and AML/KYC requirements.
Leadership: Proven experience leading a team, with strong leadership and team development skills.
Communication Skills: Excellent written and verbal communication skills; ability to effectively communicate with regulatory agencies and all levels of management.
Analytical Skills: Strong problem-solving and decision-making capabilities, with the ability to analyze complex legal and regulatory material and produce clear and concise reports.
Ethical Standards: High ethical standards and integrity in professional and personal dealings.
Adaptability: Able to adapt to rapid changes in the regulatory environment, scaling compliance initiatives as necessary

Urgent Requirement