EXCLUSIVE: PART-TIME HEAD OF COMPLIANCE & MLRO CFD/FX BROKERAGE COMPLIANCE OR FINTECH AUTHORISATION

EXCLUSIVE: PART-TIME HEAD OF COMPLIANCE & MLRO – CFD/FX BROKERAGE COMPLIANCE OR FINTECH AUTHORISATION EXPERIENCE REQUIRED

Ref: 4174G

£120K-£150K pro rata City

Our client, a global online brokerage, is looking for a Head of Compliance and MLRO to join their new London team as they begin their FCA Authorisation application. You will be responsible for guiding the Authorisation process then afterwards all compliance and AML matters for the UK business. Duties will include;

• Liaise with overseas based Head Office & Compliance team to understand background of group’s activities & needs
• Help plan the Authorisation Project including setting milestones
• Carry out all regulatory liaison with the FCA
• Prepare all required internal documentation regarding manuals, policies & procedures etc
• Prepare all Authorisation forms and handle all queries
• Once authorised take on the usual SMF 16 & 17 on a Part Time basis (until such time as role may grow too big)

You should have held SMF 16 (or CF10) in a fully regulated FCA firm including experience of liaising with the FCA. You should also have a good understanding of AML and either experience in Securities Trading or else broader Fintech (or Authorisations) experience but willing to pick up the Compliance & Product nuances of CFD Trading.

This is a fantastic opportunity for a confident and polished individual with strong interpersonal skills both to join a hugely successful global brokerage in a very visible and influential role as they set up in the UK.

NB our client is also interested in consultants working with other clients, who would commit to holding the 16 & 17 on a permanent basis for 2 days per week for at least a year.

So if you feel you have the skills and technical knowledge to help the business develop into the UK then for further information or a confidential no obligation discussion, please send your CV to Gary Collins at

mailto:[email protected]

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.