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Compliance Executive

2 months ago

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

About the Role

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 be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.

Key Responsibilities

  • Manage and oversee the compliance department, providing expert advice and guidance as needed.
  • Assess the effectiveness of our systems and controls, identifying areas for improvement and implementing changes as necessary.
  • Develop, maintain, and enhance our compliance program, policies, and procedures to ensure ongoing compliance with regulatory requirements.
  • Monitor and report on transaction activity, ensuring that we meet all relevant reporting requirements under FCA, MiFID, and EMIR rules.
  • Liaise with regulators, responding to routine queries, audits, investigations, and thematic reviews.
  • Review and approve financial promotions to ensure they are compliant with regulatory requirements.
  • Stay up-to-date with regulatory developments affecting our business and work with other departments to ensure timely implementation.
  • Attend committee meetings to present management information on various topics, including Anti-Money Laundering (AML), Anti-Bribery and Corruption (ABC), Treating Customers Fairly (TCF), Complaints, and staff training and competency issues.
  • Administer compliance training to staff on 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 (FOS).
  • Monitor and raise breaches, maintaining the breach register.
  • Manage and monitor conflicts of interest, maintaining the conflicts of interest register.
  • Act as the whistleblowing champion, implementing and communicating relevant whistleblowing policies.
  • Prepare and forward AML reports to the firm's 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 (FCA, NCA, and HMT) as required.
  • Work with the business to drive a strong AML culture.
  • Maintain and review policies, procedures, and practices to ensure compliance with laws and regulations.
  • Oversee the revision, preparation, and dissemination of new and updated AML standards and procedures.
  • Coordinate, supervise, and support the company's 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 in 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.