CHIEF COMPLIANCE OFFICER

2 months ago

London, United Kingdom Compliance Professionals Full time

Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES:
Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance
Undertaking a rolling compliance monitoring programme on a global basis and reporting to the board
Responsible for the Firm’s performance of its obligations under the Senior Managers and Certification Regime (SMCR).
Providing appropriate regulatory training, including in relation to AML, TCF, SMCR, and KYC,
Overseeing compliance with FCA rules and guidance, including those relating to conduct risk.
Presenting the Annual Compliance Report to the Board.
Drafting and maintaining applicable internal policies and procedures to ensure compliance with regulatory requirements.
Client complaint handling and resolution
Responsible for ensuring that the firm cooperates with investigations by the FCA and other regulatory bodies.
Managing all compliance staff and ensuring they receive the necessary support, training,
Responsibility to regularly present the scope and implementation of regulatory change to the Board, including the impact the regulations have on the business
Overseeing the Firm’s compliance with FCA rules and guidance and applicable legislation relating to financial crime and monitoring as well as updating and reporting to the
Reviewing developments in AML/CTF law and regulation, including updates by relevant authorities
Responsible for handling escalations on financial crime matters as well as ensuring oversight of high risk client relationships
Providing updates and advising the firm on major regulatory developments
Extensive knowledge and experience at a senior operational level in a retail brokerage environment
A strong background in the compliance aspects of electronic and web based business
Attained a degree (preferably in law) or equivalent
Ideally experience working in a global business

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