UK Head of Compliance & MLRO SMF16 & SMF17

Head of Compliance & MLRO | Global Brokerage | London

Senior Management Functions: SMF16 & SMF17

ETRA Talent is supporting an established international brokerage in appointing a Head of Compliance & MLRO to lead its UK Compliance function.

Based in London, this senior leadership role offers the opportunity to shape the UK compliance agenda, contribute to the wider Group Compliance strategy and serve on the UK leadership team.

You will lead a team of three, working closely with colleagues across the group and Europe to ensure UK regulatory requirements are met and compliance remains central to business decision-making.

Key responsibilities

• Lead the UK Compliance function, overseeing compliance monitoring, regulatory advice and management reporting.
• Hold the SMF16 and SMF17 responsibilities, overseeing compliance and anti-money laundering arrangements.
• Act as a senior point of contact for UK regulators, managing regulatory communications, submissions and engagement.
• Lead, develop and support the UK Compliance team, promoting a collaborative and proactive approach.
• Advise senior management on regulatory obligations, business developments and emerging compliance risks.
• Work closely with Group Compliance and European counterparts to align local requirements with group standards.
• Oversee regular compliance and AML reporting to the CEO and other senior stakeholders.
• Contribute to the strategic direction of the wider Group Compliance function.

Candidate profile

We are seeking an experienced compliance leader with sound judgement, strong technical knowledge and the confidence to advise and challenge senior stakeholders.

You will bring:

• At least 10 years’ experience in Compliance or AML within financial services or a relevant consulting environment.
• A strong understanding of UK and European financial services regulation, including MiFID, MAR and financial crime requirements.
• Proven experience managing regulatory relationships and engaging directly with regulators.
• Broad knowledge of compliance risk, governance and controls.Experience leading and developing teams.
• Strong stakeholder management skills and a practical, collaborative approach.

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