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Head of Compliance & MLRO (SMF16 & 17)

Willow Resourcing
Job LocationLondon
EducationNot Mentioned
Salary£10,000 - £120,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

A Head of Compliance & MLRO (SMF16 and SMF17) is required by an exciting early-stage digital bank to build out and manage their Compliance and Financial Crime operations.You responsibilities will include:

  • Designing and implementing appropriate Risk, Compliance and Financial Crime Compliance frameworks across the business
  • Guiding the business through the EMI licensing process
  • Acting as the focal point of contact with EMI compliance to resolve and oversee all regulatory matters
  • Operating as the main point of contact with the FCA and other external agencies
  • Being involved in raising compliance awareness across the business and conducting compliance training
  • Conducting compliance monitoring and undertaking thematic reviews to ensure the company is compliant with rules & regulations
  • Analysing the impact of new regulations on the company
  • Drafting Financial Crime policies internally which mirror and take into consideration 3rd party tools
  • Assisting the business to ensure it remains compliant when identifying instances of Financial Crime, Fraud, Conflict of Interest etc.
  • Overseeing the Transaction Monitoring and Payment Screening platform to see if it generates any alerts or triggers
  • Completing SARs, DAML to NCA and start investigations if necessary.
  • Assisting with Audit & Assurance
  • Providing Compliance and Financial Crime Training to employees
  • Assisting with KYC/CDD/KYB and on-boarding of Clients (both retail and commercial)
  • Overseeing the automated monitoring systems and review all hits thrown (to be validated)
  • Reviewing of all procedures and policies to be compliant with GDPR
  • Assisting in ensuring Data Protection & GDPR policies and procedures are adhered to.
    • To be considered for this excellent opportunity you will
  • Be an experienced senior Compliance professional and/or MLRO
  • Have previous FinTech and/or Banking experience
  • Ideally have an understanding of the EMI license application process
  • Have a proven track record of successful stakeholder management, both internally (with executive team) and externally (with the FCA, Financial Ombudsman etc.)
  • Be happy operating in a hands-on capacity
    • Required skills
  • Banking
  • Compliance
  • Financial Services
  • MLRO

    • Keyskills :
    Banking Compliance Financial Services MLRO

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