Deputy MLRO; Pershing EMEA & Financial Crime Compliance Officer; Markets

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We’re seeking a senior financial crime professional to act as Deputy to the MLRO for our Pershing Securities Limited (UK) and Pershing Securities International Limited (Ireland) entities as well as lead Financial Crime Compliance coverage for our Markets line of business. You will provide second-line oversight, expert advisory support and client guidance, ensuring effective identification, mitigation, and reporting of financial crime risks in a fast‑moving, complex environment.

This role blends deputy MLRO responsibilities with specialist product-risk expertise for Markets. This role is based in our Manchester office.

• Provide coverage for the MLRO’s SMF
  17/PCF
  52 responsibilities in their absence; act as the primary point of escalation for internal/external stakeholders.
• Act as FCC Officer for Markets, providing proactive and pragmatic advisory on product, client and transactional financial crime risks across Markets activities.
• Provide timely, accurate advice on AML/CTF, sanctions and other financial crime risks to stakeholders within Pershing EMEA, Markets and CCM, aligned to applicable regulation and BNY policy.
• Ensure financial crime controls operate effectively, specifically KYC and transaction monitoring, while also supporting any associated investigations and ensuring internal and external SAR reports are submitted as required.
• Support regulatory returns and information requests from regulators/law enforcement; ensure completeness, accuracy and timeliness.
• Lead and challenge product-risk assessments and Product Due Diligence (PDD), ensuring risk identification, control design and evidencing are robust and proportionate.
• Review and provide FCCO approvals/escalations from Enterprise Onboarding (KYC) for Pershing EMEA, Markets and CCM; ensure heightened scrutiny for higher‑risk client/product scenarios.
• Maintain local FCC procedures, systems and controls; ensure alignment with evolving regulatory requirements across EMEA.
• Produce high‑quality KRI/KPI/MI for Board, senior management and governance forums; translate data into insight and credible challenge.
• Maintain and deliver targeted FCC training and awareness across Pershing EMEA and Markets, including role‑based training for higher‑risk activities.
• Provide leadership and support to members of the Pershing EMEA financial crime team.

• Extensive experience in Financial Crime Compliance with demonstrable subject‑matter expertise; prior exposure to Markets products/activities is strongly preferred.
• Deep knowledge of UK/EU AML/CTF, sanctions and ABC frameworks; familiarity with global standards; ability to interpret and apply regulatory change to business models.
• Strong understanding of how Markets product structures and flows can drive FC risks (e.g., complex instruments, agency/omnibus models, speed/volume, cross‑border activity) and how to mitigate them through practical controls.
• Investigative mindset, structured decision‑making and high personal accountability; comfortable making risk‑based judgements under time pressure.
• Excellent stakeholder management and communication skills—able to be both a trusted advisor and an effective challenger; strong presentation and writing skills.
• Data‑savvy with the ability to interpret MI/KRIs, monitoring outputs and assurance results to produce actionable insights.
• Strong leadership skills, with the ability to mentor and develop colleagues and deputise credibly for the MLRO.
• Relevant…