Head of Compliance and MLRO
financial services compliance
experience in MIFID II, PSD 2
About Our Client
A payment business.
- Manage the financial crime team
- Working with the business to provide compliance oversight and guidance on how to on-board clients.
- Monitoring clients, dealing functions and other MIFID activities
- Provide guidance, advice and training to the firms staff in relation to Compliance matters.
- Maintaining compliance policies, procedures and other central compliance duties
- Assisting in internal and external audits
- Reviewing and drafting of policies and procedures
- Assisting the head of operations in preparing annual and periodic reports for the board
- Horizon scanning - making sure that all new regulatory developments that will impact the business operation are identified.
- Manage Compliance systems and projects, such as the implementation of new screening and KYC tools, or development of on-boarding systems.
The Successful Applicant
- Financial services compliance experience, in a management or senior role.
- Knowledge of the UK and EU legislation, including recent changes and practical applications
- very strong knowledge of MIFID 2
- Understanding of the SMCR rules and implementation of suitability and background checks.
- A working knowledge of data protection and GDPR rules
- Knowledge of reporting and breach processes
- Experience in making judgements from applying policies and processes to non-routine scenarios
- Demonstrate strong principles while maintaining good business relationships
What's on Offer
an attractive role in a growing company with a great culture and working environment.