Head of Regulatory Compliance
2 weeks ago
Our client is a leading online multi-asset brokerage firm, specializing in FX/CFD products. This role will report directly to the Global Head of Risk and Compliance.
Key Responsibilities:- Establish and Maintain Compliance Frameworks: Develop and implement appropriate policies, procedures, systems, and controls in relation to regulatory compliance and financial crime for the UK entity.
- Compliance Monitoring and Oversight: Oversee the implementation of the Compliance Monitoring Plan to assess those systems and controls and ensure processes and procedures meet regulatory requirements, providing recommendations for and oversight of remediation where required.
- Regulatory Liaison and Advice: Liaise with all areas of the business, including the Board of Directors, to provide sound advice and guidance in relation to regulatory matters and consider the regulatory risks associated with new business initiatives, including new products.
- Regulatory Contact and Reporting: Act as a point of contact for regulatory bodies and auditors (both internal and external) and ensure the completeness and accuracy of regulatory reporting.
- Staff Training and Development: Ensure staff are trained in local regulatory requirements and receive induction training, and that all staff required to comply with the regulator's training and competence regime do so.
- Compliance Status and MI: Assess the Company's status of compliance and prepare relevant Management Information (MI) to the Board, including Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs), and attend relevant committees where required.
- Complaints and Investigations: Effectively deal with any complaints raised by clients and any subsequent interaction with the Financial Ombudsman Service, and participate in ad hoc investigations, reviews, and compliance/financial crime projects as required.
- Relationship Building and Team Development: Develop and strengthen relationships across the firm to promote best practice and ensure a good understanding of the regulatory framework within which the firm must operate, and provide support and guidance to the Compliance Team and take responsibility for individual team development.
Requirements:
- 7+ years compliance experience gained within a similar organisation.
- Thorough understanding of the legal and regulatory frameworks in which the firm operates.
- Proven experience in developing and implementing compliance programs and policies.
- Ability to explain regulatory requirements and advanced compliance concepts clearly and concisely.
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