Head of Compliance & MLRO

512 300 Kind Consultancy

Website KindConsultany Kind Consultancy

Trading Brokerage

Kind Consultancy is working with an already successful and fast-growing business that provides prime brokerage solutions for professional trading companies. They are currently in the process of substantially expanding the business and as part of this, are seeking a Head of Compliance & MLRO to join their London office, in a flexible working model requiring 2 in-office days per week.

The Head of Compliance & MLRO will hold principal responsibility for the creation and maintenance of the organisation’s systems, controls and frameworks relating to Financial Crime and Compliance. The successful candidate will hold the SMF16 and SMF17 functions and has overall responsibility for ensuring that the key regulatory risks are identified, monitored and managed effectively. You will work closely with the CEO, COO and other department Head Ofs and have oversight of client assets.

Our ideal candidate for the Head of Compliance & MLRO opportunity:

  • Has 3+ years recent experience of holding SMF16 and SMF17 functions, and 5+ years overall experience of senior Compliance work
  • Has experience of working for an equity and equity derivatives DMA trading firm (highly desirable)
  • Has recent experience of client assets held under CASS
  • Is accustomed to taking responsibility as the sole compliance function, and the ability to recruit and manage a team as the business continues to expand
  • Has strong product knowledge of Equities, Options and FX products

If you’re interested in the Head of Compliance & MLRO opportunity and you have the skills, knowledge and experience we’re looking for, please apply with an updated CV today.

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