Senior Compliance Manager

3 weeks ago

City of London Greater London, United Kingdom Hantec Markets Full time

About Hantec Markets Having a global presence and embracing a diverse range of nationalities, our company warmly welcomes you. We take pride in our diversity, cultivating a vibrant working environment, and nurturing continuous growth. Alongside our outstanding leadership, we embrace an open-door policy, fostering a welcoming and trustworthy environment where everyone's input is valued. The opportunities for career advancement are endless, and your unique contributions will enhance our collective strength. We are a regulated London-based financial brokerage firm, and our global reach extends to 12 countries, with ongoing growth initiatives. Our mission since 1990 has been to deliver an unparalleled trading experience that adheres to fairness and transparency in every aspect; an environment that allows our clients to gain knowledge, evolve, and trade securely. Below covers everything you need to know about what this opportunity entails, as well as what is expected from applicants. Hantec Markets - Senior Compliance Manager (FCA Certified / CFD & FX experience) The candidate will be expected to uphold the highest standards of regulatory compliance, integrity, and transparency to safeguard the interests of clients and maintain the reputation of the company within the financial markets. Duties & Responsibilities:

  • Develop, implement, and maintain compliance policies and procedures in accordance with FCA regulations and guidelines, along with MiFID II, MiFID & EMIR rules, and guidance.
  • Conduct regular compliance reviews and risk assessments to identify and address any areas of potential risk. This involves monitoring trading practices, client interactions, and internal processes.
  • Arranging compliance training sessions to employees to raise awareness about regulatory requirements, ethical standards, and best practices in the forex industry as well as AML training and reporting. Ensuring that all staff members understand their compliance obligations.
  • Utilizing advanced monitoring tools and surveillance systems to detect and prevent, market abuse, and other compliance breaches. This involves analysing trading patterns, client transactions, and communication channels.
  • Preparing and submitting regulatory reports to the FCA as required. Maintaining accurate records and documentation of compliance activities, audits, and investigations for internal and external review.
  • Establishing and maintaining robust Know Your Customer (KYC) and Anti-Money Laundering (AML) procedures to verify the identities of clients and detect suspicious activities. Conducting thorough due diligence checks on new clients and ongoing monitoring of existing client accounts.
  • Collaborating with senior management and various departments to promote a culture of compliance throughout the organization. Participating in compliance where relevant and providing guidance on regulatory matters.
  • Serving as a point of contact for regulatory inquiries and inspections conducted by the FCA. Building positive relationships with regulatory authorities and industry peers to stay informed about emerging trends and regulatory developments.
  • Develop and communicate quarterly compliance report to the Board.
  • Knowledge in various regulatory aspects including ICARA, MIFID, Wind-down processes.
  • Participating in compliance projects and technology projects as a key stakeholder.
Reporting Line: • Ensure that the Global Head of legal and Compliance is fully informed of the organization's compliance status, challenges, and progress by providing daily/weekly/monthly/ad hoc updates and reports on all compliance-related matters. Requirements:
  • Strong communications and people skills and the ability to consult with and influence stakeholders across the organisation.
  • Degree in Law, Finance, or any other relevant field
  • At least 5 years of experience in a Compliance Officer role within a FCA Company
  • Up to date with all relevant UK FCA rules and regulations
  • Fluency in English is necessary.
  • Excellent communication and organisational skills and detailed oriented
  • Work effectively under pressure and adapt quickly to changes.
  • Able to work well in a team and individually.
  • Experience working in a CFD/Forex Brokerage
What Hantec offers in return:
  • Competitive compensation
  • Competitive annual leave package
  • Life assurance plan (including 24/7 online GP appointments, Mental health support, nutrition advice, fitness plans, second medical opinions and health checks)
  • Volunteering Time off Program
  • Employee of the Quarter Program – with Certification and Prize
  • An opportunity to grow and establish a long-term career
  • Inclusion in the annual discretionary bonus pool
  • Company Pension
  • Tastecard membership

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