Chief Compliance Officer

2 weeks ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY: Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES:

  • Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance
  • Undertaking a rolling compliance monitoring programme on a global basis and reporting to the board
  • Responsible for the Firm’s performance of its obligations under the Senior Managers and Certification Regime (SMCR).
  • Providing appropriate regulatory training, including in relation to AML, TCF, SMCR, and KYC,
  • Overseeing compliance with FCA rules and guidance, including those relating to conduct risk.
  • Presenting the Annual Compliance Report to the Board.
  • Drafting and maintaining applicable internal policies and procedures to ensure compliance with regulatory requirements.
  • Responsible for leading the investigation of suspected breaches
  • Client complaint handling and resolution
  • Overseeing the approval process for advertising and research material
  • Responsible for ensuring that the firm cooperates with investigations by the FCA and other regulatory bodies.
  • Managing all compliance staff and ensuring they receive the necessary support, training,
  • Responsibility to regularly present the scope and implementation of regulatory change to the Board, including the impact the regulations have on the business
  • Overseeing the Firm’s compliance with FCA rules and guidance and applicable legislation relating to financial crime and monitoring as well as updating and reporting to the
  • Reviewing developments in AML/CTF law and regulation, including updates by relevant authorities
  • Responsible for handling escalations on financial crime matters as well as ensuring oversight of high risk client relationships
  • Providing updates and advising the firm on major regulatory developments
EXPERIENCE REQUIRED:
  • Currently or previously FCA SMF registered
  • Extensive knowledge and experience at a senior operational level in a retail brokerage environment
  • A strong background in the compliance aspects of electronic and web based business
  • Excellent verbal and written communication skills.
  • Excellent interpersonal skills and experience working with board level stakeholders
  • Excellent people management and development skills.
  • Attained a degree (preferably in law) or equivalent
  • Ideally experience working in a global business
For further information please contact Natalie Eshelby #J-18808-Ljbffr

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