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Deputy Head of Compliance

2 months ago

London, United Kingdom Compliance Professionals Full time

We are working with a globally recognized FX and CFD Broker who are on the search for a Compliance Executive to join the firm. The firm are based centrally in the city close to Bank Station.


Management and oversight of the compliance department, providing advice as necessary. Updating, maintaining and enhancing the firm’s compliance program, policies and procedures and the compliance manual as and when necessary.
Transaction reporting monitoring, to ensure the company continues to meet reporting requirements under FCA, MiFID and EMIR rules.
Reviewing and approving of financial promotions.
Monitoring regulatory developments affecting the firm’s business, and then working with other departments to ensure timely implementation.
Attending Committee meetings to present Management Information (MI) on a range of issues including, Anti-Money Laundering (AML), Anti-Bribery and Corruption (ABC), Treating Customers Fairly (TCF), Complaints and staff training and competency issues.
Administering compliance training to staff in respect of regulatory issues, UK financial services standards and company policies.
Maintaining details of all complaints in the complaints register and handling complaints, including liaising with the Financial Ombudsman Service (FOS).
The monitoring and raising of breaches and maintaining the breach register.
The management and monitoring of all conflicts of interest arising and maintaining the conflicts of interest register.
Being the whistleblowing champion and implementing and communicating relevant whistleblowing policies.
Prepare and forward AML reports to firm’s Board on an annual basis.
Work with the business to drive through a strong AML culture.
Maintain and review policies, procedures and practices to ensure compliance with laws and regulations.
Oversee revision, preparation and dissemination of new and updated AML standards and procedures.
Co-ordinate, supervise and support the company’s AML-related programmes.
Work with senior management to ensure that the business implements and maintains suitable AML systems and controls.


5+ years within a generalist compliance role – NOT PURE AML/ KYC.
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