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Head of Compliance & MLRO
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Head of Compliance & MLRO / DPO
SMF16 & SMF17
We are working with a UK regulated Banking group seeking an experienced Head of Compliance & MLRO / DPO to lead and oversee the organisation's compliance, financial crime, AML and data protection frameworks.
The successful candidate will play a senior leadership role, providing independent oversight of regulatory compliance and financial crime risk, while working closely with the CEO, Board, Risk Committee and senior management.
Key Responsibilities:
- Lead and maintain the firm's Compliance, Financial Crime and AML frameworks.
- Act as the primary point of contact with relevant UK regulatory authorities on compliance and AML matters.
- Hold responsibility for the SMF16 Compliance Oversight and SMF17 MLRO functions.
- Develop and oversee AML/CTF programmes, including CDD, EDD, transaction monitoring, sanctions and SAR reporting.
- Provide regulatory advice to senior management and the Board on emerging regulatory developments and business initiatives.
- Lead regulatory horizon scanning and assess the impact of regulatory changes on the business.
- Develop and maintain the Compliance Monitoring Plan.
- Oversee financial crime risk assessments and the effectiveness of associated controls.
- Act as the organisation's Data Protection Officer, overseeing UK GDPR and data protection compliance.
- Oversee DPIAs, data subject rights requests, data breaches, third-party data processors and the firm's data protection governance framework.
- Prepare and present regular Compliance, AML, Financial Crime and Data Protection reports to senior management, the Risk Committee and Board.
- Prepare the annual MLRO report and relevant regulatory reporting.
- Support the organisation's SMCR framework and ensure compliance with Senior Manager Conduct Rules.
- Lead, develop and mentor the compliance team, fostering a strong culture of regulatory compliance and financial crime risk awareness.
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The ideal candidate will have:
- Extensive experience in Compliance, AML and Financial Crime Risk Management within the UK banking or financial services sector.
- Strong knowledge of FCA, PRA, AML/CTF, UK GDPR and SMCR requirements.
- Previous experience engaging with UK regulators and managing regulatory reviews or inspections.
- Experience operating at a senior level with strong Board and senior stakeholder engagement skills.
- Proven experience as an SMF16 and SMF17 holder, or the ability to obtain the relevant FCA approvals.
- Strong leadership, analytical and communication skills.
- The ability to operate independently and provide credible challenge to senior stakeholders.
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Experience within Private Banking, Correspondent Banking or Trade Finance Compliance would be advantageous. Professional qualifications such as CAMS, ICA or equivalent are desirable, as is experience or certification in Data Protection.
Location:
- UK-based
Regulatory Status:
- FCA/PRA regulated environment
SMF Requirements:
- SMF16 & SMF17 FCA Approval required
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