Develop, implement, and maintain the firm’s compliance framework in accordance with FCA requirements.
Act as the primary point of contact with the FCA and other relevant regulators.
Ensure timely and accurate regulatory reporting.
Provide regulatory advice to senior management and the Board on applicable laws, rules, and guidance.
Construct, review, and maintain compliance policies, procedures, and processes.
Implement Horizon Scanning processes.
Ensure controls are in place to oversee and monitor any Agent and Distributor relationships.
Maintain oversight of enterprise risks, risk registers, incident reporting, operational resilience, outsourcing oversight and operational risk.
Conduct compliance reviews, perform compliance monitoring and surveillance.
Provide regular internal management information on compliance related activities.
Manage the process for and report SARs for Mercuryo.
Act as the point of contact for compliance advisory tickets and requests.
Manage the escalation, root cause analysis, and remediation of financial crime compliance breaches.
Implement risk-based monitoring and assurance programs on core oversight activities.
Work on compliance operations such as gifts and entertainment registration, regulatory reporting, conflicts management, EDD sign off, quality assurance, and testing.
Provide KYB and client due diligence advisory.

Minimum of 5 years of relevant experience working in a regulatory, law enforcement, e-money, payment services, crypto, consultancy or a retail banking environment – or similar regulatory background.
Experience across Policy & Procedure development, Risk Assessment, Assurance, Advisory and Oversight within all financial crime areas, as well as regulatory compliance, consumer protection, data protection and risk.
A keen eye for detail and the ability to confidently challenge the business units and advise on solutions to problems.
Hands on experience of designing and implementing Regulatory and Financial Crime Compliance and Operational programs around consumer protection, regulatory compliance onboarding, CDD, transaction monitoring and screening.
The ability to build strong relationships, make impactful contributions and influence business strategy.
Fluency in English (written and verbal).

Head of Compliance, MLRO

Key skills