Head of Compliance and MLRO

Job Title: HEAD OF COMPLIANCE AND MLRO

Reference: AJB JB AM 08

Location: LONDON

Assignment Profile:
Our client is a highly regarded AIM specialist stock-broking firm based in London. Due to continued expansion they are seeking a full time Compliance Office and MLRO (to hold the CF10 and CF11 position) 

The main business of the firm is to provide a bespoke service the Retail High Net Worth,  retained AIM quoted Corporate clients and institutional clients. They also support small companies and emerging companies that are listed on the public exchanges or seeking admission to the AIM 

The firm also offers flotation advice and capital raising advice 

The successful candidate will be expected to discharge all necessary duties to ensure that the firm remains compliant with FSA regulation at all times, taking a proactive and balanced approach to regulation and taking into account the commercial aspects of the business.

You will be expected to develop a robust compliance culture and deliver training to members of staff as and when necessary

Candidate Profile:
The successful candidate will be of graduate calibre and have additional industry qualifications and a minimum of five years compliance experience within a retail stock-broking environment.   

You are likely to have held the CF10 and CF11 functions previously or demonstrate beyond doubt that you are capable of doing so.

This will be a stand along position for the time being and so you must be a self starter

Excellent prospects for the successful candidate within a very progressive firm

Consultant: Jonathan Banjo

Consultant Email:

Salary: Circa £50-60,000 Plus Benefits

If you feel you are a suitable candidate for this position please contact Jonathan Banjo.