Head of Compliance SMF16/ SMF17

4 weeks ago

London, United Kingdom Marlin Selection Recruitment Full time

Job Description

A great opportunity has arisen to join a growing financial services firm in London as Head of Compliance (SMF16/SMF17).

Your duties will include

• To monitor NASDAQ SMARTS alerts and act as final arbiter when received reports.

• To submit reports to FCA (STORs) and/or NCA (SARs).

• To monitor the Dealing Errors and Incident Reports within the UK business

• To manage and provide solution for financial crime and AML matters in accordance with the ToR for Compliance.

• To maintain the Compliance Monitoring Program as per the approved Compliance Procedures Manual.

• To perform duties in relation to Personal Account Dealing, as set out in the Firm’s Personal Account Dealing Rules.

• To implement changes to the Firm’s systems, controls and procedures in response to FCA rule changes, so far as they affect the Firm.

• To have in-depth understanding of FCA Consultation Documents, Policy Notices, and other publications.

• To monitor for suspicious activity from both clients and employees.

• To ensure Firm’s compliance with FCA’s rules including timely submission of regulatory returns, if any.

• Per the prescribed responsibilities under SMCR for SMF 16 and 17

• All other ad-hoc Compliance duties/projects as and when assigned.

If you feel you can adhere to the above please apply stating your current remuneration, notice period and expectations

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