Compliance Officer
1 week ago
Role Responsibilities:Compliance OfficerStay up to date with changes to UK compliance laws and regulations issued by the FCA and other relevant bodiesTogether with the Group Head of Compliance maintain update and ensure adherence to all compliance policies and procedures across the firmSupport the firms compliance monitoring programmeHandle regulatory approvals appointment of UK senior managers and regulated individuals and maintain documentation in line with the Senior Managers and Certification Regime (SMCR)Prepare and submit accurate regulatory reports through FCA Connect platforms in a timely mannerCommunicate with the Group Head of Compliance to harmonise best practices and promote a uniform approach on financial crime compliance advisory training policy and surveillance and monitoring matters across all officesOversee ongoing transactional reviews to detect and mitigate potential compliance breachesTogether with the wider surveillance team monitor and investigate trading activity to identify potential market abuse risks and perform surveillance reviews across asset classes and escalate suspicious activityAdvise senior stakeholders on risks findings and remediation strategiesOversee the preparation of MI reports and updates for senior management and committeesProactively audit processes practices and documents to identify weaknesses and provide an advisory service as to how these can be improvedCommunicate with industry peers to identify latest themes and issues and best market practicesAny other ad hoc duties that may be required from time to timeMLROThe successful incumbent shall also be the UK MLRO and responsible for overseeing the companys anti-money laundering (AML) and counter-terrorist financing (CTF) collaboration with the Gibraltar MLRO ensure compliance with relevant regulations maintain AML policies and procedures conduct risk assessments and monitor transactions for suspicious activity. They shall act as the primary point of contact with regulatory authorities and law enforcement in the UK and manage the reporting of suspicious activity reports (SARs).The ideal candidate disposes of:Able to work collaboratively as well as independentlyUpholds the firms legal regulatory ethical standards and reputationAbility to work under pressure while maintaining high accuracy and quality standardsAbility to demonstrate integrity in all tasks and functions performedGood interpersonal and communication skills both verbally and writtenStrong attention to detail and accuracyAble to prioritise and re-prioritise in a fast moving and constantly changing environment.Requirements and Preferences:Experienced Compliance generalist in the Financial Services sectorStrong knowledge of CFD spread betting derivative products requiredStrong working knowledge of the FCA Handbook and FINRA rulesGood knowledge of European financial markets regulation e.g. MiFID II/MiFIR MARStrong understanding of AML practicesKnowledge of market dynamics liquidity and trading practicesWell-developed understanding of multiple assets and instrumentsThis role is regulated under the FCAs Senior Managers and Certification Regime.Required Experience:Senior IC Key Skills Compliance Management,Risk Management,Financial Services,PCI,Banking,Cost Accounting Standards,Quality Systems,Research Experience,NIST Standards,Securities Law,SOX,ISO 27000 Employment Type : Full-Time Department / Functional Area: Compliance Experience: years Vacancy: 1
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Compliance Officer
3 weeks ago
london, United Kingdom AJ FOX COMPLIANCE Full timeWe are working with an independent law firm to recruit a Compliance Officer to join their collaborative and highly regarded London team. In this role, you’ll work closely with the Head of Risk and Compliance, supporting a range of firmwide compliance functions and contributing to the delivery of robust risk management across the business. You’ll assist...
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Compliance Officer
3 weeks ago
london, United Kingdom AJ FOX COMPLIANCE Full timeWe are working with a specialist legal consultancy to recruit several Compliance Officers to join their growing internal team. In this role you'll support a wide range of law firm clients on compliance, risk management, and regulatory best practice. You’ll play a key part in helping firms maintain quality assurance standards, prepare for audits, and meet...
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Compliance Manager
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Compliance Officer
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