UK Compliance Officer/MLRO


GBP120000 / annum



Date Posted:

February 5, 2018

Employment Type:


Job Reference:


Staffing Area:

Financial Services


The role of UK Compliance Officer/MLRO is to provide support to the Chief Compliance Officer to deepen the capability and operational reach of the monitoring and testing programmes in the business together with developing the Group compliance network and evolution of the group wide compliance capabilities.

The role Robert Half Risk & Compliance has been asked to help find the best talent in London for is with a leading global provider of alternative asset and corporate administration services. They service clients from 15 locations spread across the Americas, EMEA and Asia-Pacific & Mauritius. They are quite small in the UK but growing massively. This is a standalone CF10/Cf11 role but given time you will hire a team. Currently they have consultancy doing the compliance but they have grown to the point they need to bring in house. The role reports into a chief risk officer who joined a few months ago. They have international offices eh New York, Cape Town, Singapore, Malta etc, so the role involves an element of occasional travel (about 20%).

Key Responsibilities:

1. FCA Approved Person Requirement

  • Receive FCA approval to be Head of Compliance ("C10") for two authorized entities
  • Receive FCA approval to be MLRO ("CF11") for two authorized entities;


  • Receiving internal reports of suspected Money Laundering from within the Firm;
  • Reporting to NCA;
  • Obtaining and using national and international findings;
  • Overseeing adequate arrangements within the Firm for Money Laundering awareness and training in line with current legal and regulatory requirements;
  • Ensuring that AML record keeping arrangements are adequate;
  • Making annual reports to senior management about Money Laundering compliance in respect of criminal property, Money Laundering and terrorist financing risks using the standard JMLSG "MLRO Report format";
  • Ensuring that Money Laundering risk is taken into account in the Firm's day-today operations, for example, the development of new services, taking on of new clients and changes in business profile;
  • Ensuring the appropriate documentation of the UK entities risk profile in relation to Money Laundering under the UK Money Laundering Regulations 2017 and the Fourth Money Laundering Directive.

3. UK Compliance Manuals and Monitoring Plan

  • Annual update Compliance Manuals of two authorized entities for changes in FCA regulations
  • Prepared Annual Risk Based Compliance Monitoring Plan for UK
  • Report on findings of CMP to the UK Boards

4. UK Compliance Logs

  • For all UK contracted entities; Maintaining breaches and errors log; Maintains complaints log; Maintains Gifts Register

5. UK Board and Group Reporting

  • Preparation of the Companies UK "Risk and Compliance" Report and presentation to Directors in quarterly board meetings;
  • Group Compliance reporting MI.

6. FCA Submissions/Liaison with regulator

  • Undertakes quarterly and annual online ("GABRIEL") reporting to the FCA;
  • Undertakes FCA Approved Persons approvals when required;
  • Undertakes FCA VOP approvals when required;
  • Maintains file of all correspondence with the FCA.


  • Vision and Innovation
  • Leading Change
  • Influencing and Leading Others
  • Customer Expectation
  • Risk Leadership

Experience required:

  • A minimum of five years' experience in a Compliance and/or regulatory role.
  • Leadership ability, ability to communicate effectively.
  • Familiarity with financial services laws, regulations, and standards, understanding of risk management, and performance improvement.
  • Motivated and Driven

If you have previously held the CF10/11 or would like to take your career to the next step in a positive environment then get in touch.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms:


10th Floor, The Shard 32 London Bridge Street London, SE1 9SG 0207 389 6900
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