Head of Compliance

7 months ago

London, United Kingdom Gold Grain Capital Ltd Full time

**Position: Head of Compliance**

**Location: London (with possible travel abroad)**

**Full-Time**

Company Overview:
Gold Grain Capital is a boutique firm specialising in structured and alternative investment products, custom securitisation solutions, and wealth management services. We work with institutional and professional investors only. The firm is regulated in the UK, Netherlands, and Italy.

**Role Overview**: As the Head of Compliance, you will play a pivotal role in ensuring that our operations adhere to all relevant regulations and standards in all geographies in which the firm operates. You will be responsible for developing, implementing, and overseeing our compliance program, as well as providing guidance to internal stakeholders on compliance matters. This role offers a unique opportunity to lead and shape the compliance function within a dynamic and fast-paced environment.

**Key Responsibilities**:

- Ongoing development and maintenance policies and procedures to ensure compliance with applicable laws and regulations, including but not limited to anti-money laundering (AML), know your customer (KYC), and sanctions regulations.
- Conduct regular compliance risk assessments and implement controls to mitigate identified risks.
- Monitor changes in regulatory requirements and assess their impact on the business.
- Oversee compliance monitoring and testing activities to ensure effectiveness.
- Act as the primary point of contact for regulatory inquiries and examinations.
- Prepare and submit regulatory documentation to the FCA, AFM and CONSOB and act as point of contact with the UK, Dutch and Italian authorities.
- Identification of market abuse practices and reporting to FCA, AFM and CONSOB.
- Coordination with the head of compliance of other entities of the group.
- Participation in global compliance and AML projects.
- Review of marketing material.
- Call monitoring.
- Provide guidance and training to Company staff on compliance and AML-related matters.
- Conducting regulatory analysis prior to the launch of new financial products and providing advice to the business units involved.
- Coordination with all business units for the regulatory implementation of new projects.
- Designing of reporting systems.
- Work hand in hand with the outsourced compliance agencies.
- Onboarding of new clients and issuers
- Collaborate with internal stakeholders, including legal, risk management, and operations, to address compliance issues and implement solutions.

**Qualifications**:

- Extensive and proven track record in regulatory compliance within the financial services or consultancy sectors, preferably within MiFID firms (5 years+)
- 3+ years of experience in an SMF role
- Thorough comprehension of the UK and European regulatory landscape for financial services, encompassing MiFID II and AML/CTF regulations.
- Experience in dealing with Italian AFM (NL) CONSOB (IT), FCA (UK)
- In-depth knowledge of relevant regulations and standards, such as AML, KYC, and sanctions.
- Strong understanding of trade finance products and services.
- Excellent communication and interpersonal skills, with the ability to effectively interact with stakeholders at all levels of the organization.
- Proven leadership experience, with the ability to work in a team.
- Produce high quality material under stress.
- Professional certifications such as Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) preferred.

**Languages**:

- ITALIAN - fluent (preferable)
- ENGLISH - fluent (must)

**TECHNICAL SKILLS**:

- Microsoft Office, all suites. (must)

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