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Compliance Manager
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Deputy MLRO / Compliance Manager – Financial Services
We’re working with an established FCA-regulated specialist finance business looking to hire a Deputy MLRO / Compliance Manager into its Compliance function.
This is deliberately a broad Compliance position. While the successful individual will act as Deputy MLRO and take responsibility for a number of the firm’s Financial Crime activities, the role will also have significant involvement across Compliance Monitoring, regulatory change, policy development, advisory work, and regulatory reporting. It therefore offers a strong opportunity for someone who wants to retain broad Compliance exposure while developing greater responsibility across Financial Crime and AML.
Key Responsibilities
- Supporting the Head of Compliance and MLRO in delivering the firm’s Compliance framework.
- Acting as a senior escalation point for AML and Financial Crime matters.
- Reviewing internal SARs and supporting decisions around external reporting.
- Overseeing ongoing customer and Financial Crime monitoring.
- Providing guidance on CDD, EDD, sanctions, PEPs, and higher-risk customers.
- Undertaking and supporting Compliance Monitoring reviews.
- Reviewing the effectiveness of policies, procedures, and controls.
- Supporting regulatory change and implementation projects.
- Developing and maintaining Compliance and Financial Crime policies.
- Providing practical Compliance advice to stakeholders across the business.
- Producing Compliance and Financial Crime MI and senior management reporting.
- Supporting FCA submissions, regulatory requests, and other reporting requirements.
- Supporting Compliance and Financial Crime training.
- Coaching and providing guidance to more junior members of the team.
- Deputising for the MLRO where required.
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We’re Looking For:
An experienced Compliance professional from an FCA-regulated financial services environment with a good combination of general Compliance and Financial Crime experience.
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You’ll ideally have experience across several of the following:
- AML and Financial Crime.
- Internal SAR investigations.
- CDD / EDD and sanctions.
- Compliance Monitoring.
- Regulatory change.
- Policy development.
- FCA regulation and regulatory reporting.
- Providing Compliance advice to senior stakeholders.
Previous experience as a DMLRO, Financial Crime Manager, Compliance Manager, or senior Compliance professional would be particularly relevant. Experience within specialist lending, mortgages, consumer finance, or brokerage would also be beneficial.
The role would suit someone who enjoys being a hands-on Compliance generalist, rather than working within a heavily siloed function, and wants the opportunity to take on greater responsibility across both Compliance and Financial Crime.
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