Head of Compliance
1 month ago
THE COMPANY:
Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance
THE RESPONSIBILITIES:
- Stay updated on all pertinent FCA regulations
- Serve as the primary point of contact for regulatory inquiries and examinations
- Oversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.
- Develop and implement compliance policies, procedures, and controls to effectively mitigate regulatory risks.
- Prepare and submit regulatory reports and filings accurately and within prescribed deadlines.
- Work closely with the global compliance function at the group level to ensure alignment and best practices.
EXPERIENCE REQUIRED:
- Current or recent SMF16 and SMF17 registration
- Demonstrable senior-level experience in compliance within the financial services industry, preferably in a CFD brokerage firm.
- Deep understanding of FCA regulations and guidelines pertaining to FX/CFD trading and financial services.
- Excellent communication and interpersonal skills
- Strong analytical and problem-solving abilities, with a keen attention to detail.
- Relevant professional qualifications (e.g., ACAMS, ICA Diploma in Financial Crime Compliance) preferred.
For further information please contact Natalie Eshelby
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