director of compliance in city of london

job type
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job details

city of london, london
job category
financial services
job type
working hours
reference number
+44 (0) 20 7786 6917
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job description


- Highly competive salary
- Convenient City of London location, close to St Paul's
- Excellent benefits package
- Opportunity to develop experience a country CCO in a global bank & brokerage
- Generous company pension scheme


This is an exciting opportunity to join a performance driven organisation that prides itself on integrity and originality. Our client - a Global Bank and Brokerage, with offices in the US, UK, Europe, Hong Kong and Singapore - is looking for a Compliance Director and MLRO to head up the Regulatory Compliance and Financial Crime function for it's UK branch based in the City of London.


This position will play a key role in assisting the firm in meeting its UK and US regulatory and compliance obligations. Specifically, the person will:

- Provide advice to management and answer staff queries on policies, procedures and controls;
- Review financial promotions for compliance with FCA COBS rules;
- Review and update Compliance Manual and related procedures as necessary, provide training as required;
- Monitor and test compliance with FCA rules and regulations, including CASS rules;
- Conduct and support compliance risk assessments;
- Provide guidance to business management on new products and/or services and changes in the regulatory environment;
- Assist with projects for the expansion of product offerings and geographical reach to support the business' goals;
- Perform other duties and special projects as assigned.


- Professional work experience in a Compliance role in the sector of brokerage, investment or asset management
- Anti-money laundering officer role (MLRO) experience a plus
- Strong working knowledge of FCA Handbook, CASS rules, and MiFID II
- Experience conducting risk assessment
- Strong written and oral communication skills
- Strong attention to detail and the ability to work independently
- Excellent organization and prioritization skills, including the ability to prioritize based on regulatory risk and business needs
- A degree and local professional post graduate qualification relating to Financial Services regulatory compliance a plus
- Knowledge of U.S. securities industry practices, FINRA and SEC rules and regulations and/or Series 7 a plus


Click APPLY now, submitting an up to date CV. Alternatively contact Matt McLaren on +44 (0)20 7786 6917 for more information.

We are seeking to arrange interviews ASAP, so please don't delay!

Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003




qualified by experience


Pursuant to the Employment Agencies Act 1973 and associated legislation, Randstad is acting as an employment agency with respect to this role. As such we are sourcing candidates for introduction to our client for permanent direct engagement by said client.

educational requirements