Head of Compliance and MLRO –Institutional Brokerage

Head of Compliance and MLRO –Institutional BrokerageApply for job

COMPANY OVERVIEW
Technology driven Institutional Brokerage with offices in the city. The firm has been experiencing rapid growth and has taken on an ever growing number of large Institutional Clients, making this a challenging and rewarding role for a Compliance Officer that has the ability to design and develop Compliance Functions.

ROLE
• Take a leading role in the FCA authorisation process
• Take on the responsibility of the CF10 and CF11
• Manage and develop a small team
• Design/ Update policy, controls and framework
• Work collaboratively with the CEO

REQUIREMENTS
• Exposure to an SME Brokerage with Institutional Clients
• Prior experience holding the CF10 and CF11
• Strong leadership qualities and communication skills
• Strong educational background and compliance/ AML qualifications