Compliance Executive

6 days ago

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

**Compliance Professionals** is seeking a highly skilled Compliance Executive to join our team.

About the Role:

We are a globally recognized FX and CFD Broker, and we are looking for a Compliance Executive to manage and oversee our compliance department. The successful candidate will provide advice as necessary, assess the effectiveness of our systems and controls, and update, maintain, and enhance our compliance program, policies, and procedures.

Key Responsibilities:

  • Manage and oversee the compliance department, providing advice as necessary.
  • Assess the effectiveness of our systems and controls.
  • Update, maintain, and enhance our compliance program, policies, and procedures.
  • Monitor transaction reporting to ensure we continue to meet reporting requirements under FCA, MiFID, and EMIR rules.
  • Liaise with regulators, including responding to routine queries, audits, investigations, and thematic reviews.
  • Review and approve financial promotions.
  • Monitor regulatory developments affecting our business and work with other departments to ensure timely implementation.
  • Attend Committee meetings to present Management Information on a range of issues, including Anti-Money Laundering, Anti-Bribery and Corruption, Treating Customers Fairly, Complaints, and staff training and competency issues.
  • Administer compliance training to staff in respect of regulatory issues, UK financial services standards, and company policies.
  • Maintain details of all complaints in the complaints register and handle complaints, including liaising with the Financial Ombudsman Service.
  • Monitor and raise breaches and maintain the breach register.
  • Manage and monitor conflicts of interest arising and maintain the conflicts of interest register.
  • Act as the whistleblowing champion and implement and communicate relevant whistleblowing policies.
  • Prepare and forward AML reports to our Board on an annual basis.
  • Act as the nominated officer in relation to dealings with the National Crime Agency.
  • Oversee the investigation of suspicious transactions/orders and submit reports to the relevant authority as required.
  • Work with the business to drive through a strong AML culture.
  • Maintain and review policies, procedures, and practices to ensure compliance with laws and regulations.
  • Oversee revision, preparation, and dissemination of new and updated AML standards and procedures.
  • Coordinate, supervise, and support our AML-related programs.
  • Work with senior management to ensure that the business implements and maintains suitable AML systems and controls.

Requirements:

  • Prior experience within a payment, fintech, CFD, or FX Brokerage firm.
  • 5+ years within a generalist compliance role – NOT PURE AML/KYC.
  • Aspirations to hold the SMF16 & SMF17 function in the future.
  • Advantageous if you have held the SMF16 and/or 17 previously.

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