Compliance Officer

4 days ago

City Of London, United Kingdom Kennedy Pearce Consulting Full time

Job Title: Chief Compliance Officer


Job Summary:


We are seeking an experienced Chief Compliance Officer to join our team at Kennedy Pearce Consulting. As a key member of our compliance team, you will be responsible for ensuring our client's compliance with all relevant regulations and laws.


Key Responsibilities:


• Lead on compliance in the UK for the retail arm of the business, undertaking compliance risk assessments, developing compliance frameworks, and implementing policies.


• Be responsible for regulatory reporting, liaising with the regulator, reviewing financial promotions considering regulatory obligations, and supporting the business with guidance.


• Handle MLRO, AML, and financial crime duties including reviewing, testing, and monitoring controls, ensuring policies and procedures are fit for purpose and proactive towards compliance.


• Engage, collaborate, and business partner with high-profile and Executive level stakeholders across the business, working as part of a small collaborative team with line management responsibilities for 1 person.


Requirements:


• At least 5+ years of Compliance & Financial Crimes experience previously in an FX environment and financial services.


• Practical experience with compliance monitoring, testing, and performing thematic reviews, alongside working on financial crime policies, AML reviews, and MLRO duties.


• Ideally, you will be SMCR certified already, or working towards this, and have practical experience of liaising with the regulator on Compliance / Financial Crime and Legal matters.


• Excellent relationship building, written, and verbal communication skills with stakeholders at all levels including executive across the whole organisation.

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