Head of Compliance and MLRO / DPO (SMF16 and SMF17)
other jobs cer Financial Ltd
Added before 5 Days
- England,London,City of London
- Full Time, Permanent
- £130,000 - £150,000 per annum
Job Description:
Head of Compliance and MLRO / DPO (SMF16 and SMF17)
City of London
Permanent
£130,000 - £150,000
cer Financial are working alongside a bank, who are based in the City of London. They are seeking a Head of Compliance and MLRO / DPO (SMF16 and SMF17) to work with them on a permanent basis.
The responsibilities of the candidate will include:
*Develop and maintain the Bank’s Compliance & Financial Crime Framework in line with FCA, PRA, and international standards (e.g. FATF).
*Ensure adherence to JMLSG guidance, sanctions regimes (OFAC, EU, HMT), and applicable laws.
*Act as primary liaison with regulators (FCA, PRA, NCA).
*Advise Senior Management on regulatory changes and business impact.
*Lead horizon scanning and maintain the Compliance Risk Appetite Statement.
*Ensure robust frameworks for TCF, conduct risk, and GDPR compliance.
*Act as MLRO, ensuring full AML/CTF compliance.
*Oversee AML frameworks (CDD, EDD, transaction monitoring, sanctions/PEP screening, SARs).
*Ensure timely SAR submissions to the NCA.
*Oversee AML risk assessments and remediation.
*Deliver AML training and awareness.
*Develop and maintain the Compliance Monitoring Plan (CMP).
*Conduct risk assessments on correspondent banking, high-risk clients, and transactions.
*Oversee transaction monitoring systems and risk escalation.
*Serve as Data Protection Officer (UK GDPR, DPA 2018).
*Act as main contact with the ICO.
*Oversee DPIAs, RoPA, DSARs, and breach reporting.
*Ensure governance over third-party data processors.
*Deliver data protection training and awareness.
*Present compliance, AML, financial crime, and data protection reports to committees and Board.
*Escalate material risks and breaches.
*Prepare Annual MLRO and Data Protection Reports.
*Support SMCR requirements.
*Lead, mentor, and develop the Compliance team.
*Support recruitment, onboarding, and performance management.
*Ensure adherence to internal policies, training, and operational resilience.
The successful candidate:
*Extensive UK banking experience in compliance, AML, and financial crime risk.
*Strong knowledge of FCA/PRA rules, AML/CTF, GDPR, and SMCR.
*Proven experience managing regulatory engagement, audits, and inspections.
*Experience in Private Banking, Correspondent Banking, or Trade Finance.
*AML certification (e.g. CAMS, ICA Diploma).
*Knowledge of operational resilience, ESG, and emerging regulations.
*Data protection certification (e.g. CIPP/E, CIPM).
City of London
Permanent
£130,000 - £150,000
cer Financial are working alongside a bank, who are based in the City of London. They are seeking a Head of Compliance and MLRO / DPO (SMF16 and SMF17) to work with them on a permanent basis.
The responsibilities of the candidate will include:
*Develop and maintain the Bank’s Compliance & Financial Crime Framework in line with FCA, PRA, and international standards (e.g. FATF).
*Ensure adherence to JMLSG guidance, sanctions regimes (OFAC, EU, HMT), and applicable laws.
*Act as primary liaison with regulators (FCA, PRA, NCA).
*Advise Senior Management on regulatory changes and business impact.
*Lead horizon scanning and maintain the Compliance Risk Appetite Statement.
*Ensure robust frameworks for TCF, conduct risk, and GDPR compliance.
*Act as MLRO, ensuring full AML/CTF compliance.
*Oversee AML frameworks (CDD, EDD, transaction monitoring, sanctions/PEP screening, SARs).
*Ensure timely SAR submissions to the NCA.
*Oversee AML risk assessments and remediation.
*Deliver AML training and awareness.
*Develop and maintain the Compliance Monitoring Plan (CMP).
*Conduct risk assessments on correspondent banking, high-risk clients, and transactions.
*Oversee transaction monitoring systems and risk escalation.
*Serve as Data Protection Officer (UK GDPR, DPA 2018).
*Act as main contact with the ICO.
*Oversee DPIAs, RoPA, DSARs, and breach reporting.
*Ensure governance over third-party data processors.
*Deliver data protection training and awareness.
*Present compliance, AML, financial crime, and data protection reports to committees and Board.
*Escalate material risks and breaches.
*Prepare Annual MLRO and Data Protection Reports.
*Support SMCR requirements.
*Lead, mentor, and develop the Compliance team.
*Support recruitment, onboarding, and performance management.
*Ensure adherence to internal policies, training, and operational resilience.
The successful candidate:
*Extensive UK banking experience in compliance, AML, and financial crime risk.
*Strong knowledge of FCA/PRA rules, AML/CTF, GDPR, and SMCR.
*Proven experience managing regulatory engagement, audits, and inspections.
*Experience in Private Banking, Correspondent Banking, or Trade Finance.
*AML certification (e.g. CAMS, ICA Diploma).
*Knowledge of operational resilience, ESG, and emerging regulations.
*Data protection certification (e.g. CIPP/E, CIPM).
Job number 3714145
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metapel
Company Details:
cer Financial Ltd
Company size: 10–19 employees
Industry: Recruitment Consultancy
cer Financial are a true financial services consultancy. We work with a large cross section of Banks, Asset Managers, Brokers, Insurers and Financial ...