Deputy MLRO, Equities Brokerage House

Full time hybrid working, London


  • To support the MLRO in the development and delivery of an appropriate Financial Crime Framework, covering Anti Money Laundering, Counter Terrorist Financing, Anti Bribery and Corruption, Anti Facilitation of Tax Evasion and Fraud and ensure the framework is aligned to industry and group standards
  • Act as the company’s leading source of financial crime knowledge, provide challenge to the first line and manage and perform second line assurance activities, provide a culture of awareness of financial crime
  • Provide second line oversight of Customer Due Diligence Processes, develop and operate processes such as Enhanced Due diligence, PEP and sanctions screening, third party financial crime audit programme.
  • Help produce the annual MLRO report and working on training and development programmes.


  • Up to date knowledge and understanding of financial crime legislation and regulation including FCA rules, money laundering regulations and JMLSG guidelines.
  • Previous experience as a Deputy MLRO or experienced Financial Crime Manager
  • Industry experience from an investment business, or a smaller retail/corporate bank
  • Team management required.  Knowledge/exposure to financial markets preferred.  AML Certification or equivalent qualification mandatory


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