Chief Compliance Officer

2 days ago

Hertfordshire, United Kingdom Compliance Professionals Full time

**Job Title:** Chief Compliance Officer

The company we are working with is a successful and rapidly growing financial services firm.

**Job Description:**

  • We are seeking an experienced Chief Compliance Officer to lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17.
  • The ideal candidate will ensure compliance with all relevant laws and regulations.
  • They will liaise with regulatory bodies and ensure all regulatory filings and reports are accurate and submitted on time.
  • The Chief Compliance Officer will lead the drafting, review, and implementation of comprehensive policies and procedures for legal, compliance, and AML activities.
  • They will regularly review and update policies to reflect changes in regulatory requirements, incorporating changes into the firm's procedures and processes effectively.
  • The role involves drafting and reviewing key contracts, agreements, official responses to customer disputes, and other legal documents.
  • The incumbent will stay abreast of legal developments and advise the business on potential impacts.
  • They will act as the Money Laundering Reporting Officer (MLRO) for the company.
  • The Chief Compliance Officer will develop and implement AML policies and procedures.
  • They will conduct AML risk assessments and ensure effective AML controls are in place.
  • The role requires reporting suspicious activities to the relevant authorities and maintaining records of such reports.
  • The incumbent will provide AML training and guidance to staff.
  • They will lead the end-to-end customer complaints process, ensuring timely and effective resolution.

**Requirements:

  • A strong academic background demonstrating analytical ability and capacity for handling complex regulatory frameworks.
  • Current or recent experience as SMF16/SMF17.
  • Extensive experience in legal, compliance, and AML roles, within the financial services space- ideally from a brokerage environment.
  • Strong leadership and management skills.
  • Excellent communication and interpersonal skills.
  • First-class levels of attention to detail and an excellent ability to accurately and coherently articulate points and arguments.

**Estimated Salary:** £120,000 - £180,000 per annum, depending on experience. We offer a competitive salary package that includes a performance-related bonus, health insurance, and a generous pension scheme.

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