Head of Legal and Compliance

THE COMPANY: Our client is a successful and rapidly growing financial services firm.

THE RESPONSIBILITIES:

1. Lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17.
2. Ensure compliance with all relevant laws and regulations.
3. Liaise with regulatory bodies.
4. Ensure all regulatory filings and reports are accurate and submitted on time.
5. Lead the drafting, review, and implementation of comprehensive policies and procedures for legal, compliance, and AML activities.
6. Regularly review and update policies to reflect changes in regulatory requirements, incorporating changes into the firm's procedures and processes effectively.
7. Draft and review key contracts, agreements, official responses to customer disputes and other legal documents.
8. Stay abreast of legal developments and advise the business on potential impacts.
9. Act as the Money Laundering Reporting Officer (MLRO) for the company.
10. Develop and implement AML policies and procedures.
11. Conduct AML risk assessments and ensure effective AML controls are in place.
12. Report suspicious activities to the relevant authorities and maintain records of such reports.
13. Provide AML training and guidance to staff.
14. Lead the end-to-end customer complaints process, ensuring timely and effective resolution.

EXPERIENCE REQUIRED:

1. Strong academic background demonstrating analytical ability and capacity for handling complex regulatory frameworks.
2. Current or recent experience as SMF16/SMF17.
3. Extensive experience in legal, compliance, and AML roles, within the financial services space - ideally from a brokerage environment.
4. Strong leadership and management skills.
5. Excellent communication and interpersonal skills.
6. First class levels of attention to detail and an excellent ability to accurately and coherently articulate points and arguments.

For further information please contact Natalie Eshelby.