Head of Compliance & MLRO

To support the buildout of its activities within the UK, Ctrl Alt is seeking an organised and experienced Compliance professional who will assume the SMF 16 (Compliance Oversight) and SMF 17 (Money Laundering and Reporting Officer).

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As Ctrl Alt’s Compliance Officer, you will help manage the UK authorisation process and its activities within the Bank of England and FCA’s Digital Securities Sandbox (DSS). You will play a critical role in designing and implementing the compliance framework for Ctrl Alt’s alternative assets business. Reporting directly to the CEO of the UK entity, the execution of the day-to-day SMF responsibilities, and working closely with the C-suite, you will be responsible for driving the compliance culture, overseeing regulatory obligations, and ensuring adherence to applicable legislation and group policies.

Duties will include, but not be limited to:

• DSS Activities: Leading Ctrl Alt through the application process of Gate 2 to enable the firm to test tokenization structures within the Sandbox;
• FCA Authorisation: Leading Ctrl Alt’s MiFID authorisation process by being the primary contact for the FCA and where required, outside counsel. You will be responsible for engaging relevant stakeholders through the FCA authorisation process, preparing the required application and associated policies, procedures and other required documents; and responding to follow-up questions from the FCA;
• AML Framework: Build, implement and manage Ctrl Alt’s AML program and partnering with the business to ensure compliance efforts are integrated;
• Regulator Interactions: Manage Ctrl Alt’s regulatory reporting obligations with the FCA;
• AML/CTF: Ensure that all Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing requirements are met and that reasonably designed counterparty onboarding programs are in place;
• Policy Development and Training: Develop and maintain policies and procedures compliant with UK regulatory standards Design and deliver ongoing training to Ctrl Alt’s staff;
• Management Reporting: Prepare and deliver periodic reporting to management and Ctrl Alt’s Board of Directors;
• Monitoring / Testing: Overseeing and direct monitoring and testing of policies and processes to ensure regulatory standards are being met;
• Risk Management: Manage the business continuity framework to ensure operational resilience; and
• Provide oversight of onboarding third parties and ensure regulatory reporting requirements to the FCA are met. Manage other conduct and compliance risks.

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