Compliance Director

4 days ago

London, Greater London, United Kingdom Compliance Professionals Full time
Job Description

We are seeking a highly skilled Compliance Executive to join our team at Compliance Professionals. As a key member of our compliance department, you will play a vital role in ensuring the firm's systems and controls are effective and compliant with regulatory requirements.

The Role:
  • Compliance Leadership: Management and oversight of the compliance department, providing expert advice and guidance as necessary.
  • Regulatory Compliance: Assessment of the firm's systems and controls to ensure they are effective and compliant.
  • Compliance Program Development: Development and maintenance of the firm's compliance program, policies, and procedures.
  • Transaction Monitoring: Transaction reporting monitoring to ensure compliance with regulatory requirements.
  • Regulatory Liaison: Liaison with regulators, including responding to routine queries, audits, investigations, and thematic reviews.
  • Financial Promotions: Review and approval of financial promotions.
  • Regulatory Updates: Monitoring of regulatory developments affecting the firm's business and working with other departments to ensure timely implementation.
  • Management Information: Presentation of Management Information (MI) to Committee meetings on various topics, including Anti-Money Laundering (AML), Anti-Bribery and Corruption (ABC), Treating Customers Fairly (TCF), Complaints, and staff training and competency issues.
  • Compliance Training: Administration of compliance training to staff on regulatory issues, UK financial services standards, and company policies.
  • Complaints Handling: Maintenance of the complaints register and handling of complaints, including liaison with the Financial Ombudsman Service (FOS).
  • Breach Management: Monitoring and raising of breaches and maintenance of the breach register.
  • Conflicts of Interest: Management and monitoring of conflicts of interest and maintenance of the conflicts of interest register.
  • Whistleblowing: Implementation and communication of whistleblowing policies.
  • AML Reporting: Preparation and submission of AML reports to the firm's Board on an annual basis.
  • AML Culture: Promotion of a strong AML culture within the business.
  • Policies and Procedures: Maintenance and review of policies, procedures, and practices to ensure compliance with laws and regulations.
  • AML Standards: Revision, preparation, and dissemination of new and updated AML standards and procedures.
  • AML Programs: Coordination, supervision, and support of the company's AML-related programs.
  • Senior Management Collaboration: Collaboration with senior management to ensure the business implements and maintains suitable AML systems and controls.
Requirements:
  • Industry Experience: Prior experience within a payment, fintech, CFD, or FX Brokerage firm.
  • Compliance Experience: 5+ years of experience in a generalist compliance role (not pure AML/KYC).
  • Future Aspirations: Aspirations to hold the SMF16 & SMF17 function in the future.
  • Advantageous Experience: Advantageous if you have held the SMF16 and/or 17 previously.

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