Job Title: HEAD OF COMPLIANCE AND MLRO


Reference:AJB/ JB IB 80


Date: 06 Oct, 2020

Location: City of London


Assignment Profile:

Our client is a MTF brokerage launching a trading venue for fixed income assets with the goal of increasing liquidity and efficacy. Our client will offer its services to Professional and Eligible Counterparties only and will not conduct business with Retail clients or hold client money Duties and responsibilities will include; You will be responsible for implementing and maintaining the Compliance Monitoring Programme Act as the registered MLRO Implementing and setup of Surveillance platform Defining all alerts to ensure all Market Abuse requirements are met Testing the flows from the Platform into the Surveillance system and ensuring that all alerts correctly trigger Responsible for day-to-day running of Surveillance system and generation of STRs where required Defining the governance around risk, setup of risk register, generation of risk alerts and papers and managing regular Risk Committee meetings. Implementing the Risk Management Framework Interfacing with the compliance and risk functions of potential clients to get them on side and assist in sign-up process for the service being offered Liaising with FCA to lead to successful authorisation as MTF

Candidate Profile:

The successful candidate will be well educated with a degree and potentially other industry qualifications At least 6 years compliance experience is required, working within investment Banking or an Electronic Trading Brokerage and have good knowledge of Fixed Income products and knowledge of MTFs Must have the ability to take on the SMF16 and SMF17 position within about 12 months of joining the company Will have excellent communication and time management skills and will be a self-starter, seeking guidance from the Chief Operating Officer as and when required Will take a keen interest in the business and its development and be seeking to be part of the company over the longer time. As well keeping up to date Be able to maintain all third party relationships, including clients and also the Regulator

Consultant: Jonathan Banjo


Consultant Email: jbanjo@ajbexecutivesearch.co.uk


Salary:Circa £90-100,000 Plus Benefits and Bonus


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

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