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Compliance Executive

2 months ago

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

We are seeking a highly skilled Compliance Executive to join our team at Compliance Professionals. The successful candidate will be responsible for managing and overseeing the compliance department, providing advice and guidance as necessary.

Key Responsibilities:

  • Management and oversight of the compliance department, providing advice and guidance as necessary.
  • Updating, maintaining and enhancing the firm's compliance program, policies and procedures.
  • Transaction reporting monitoring, to ensure the company continues to meet reporting requirements under regulatory rules.
  • Liaising with regulators, including responding to routine queries, audits, investigations and thematic reviews.
  • Reviewing and approving of financial promotions.
  • Monitoring regulatory developments affecting the firm's business, and working with other departments to ensure timely implementation.
  • Attending Committee meetings to present Management Information (MI) on a range of issues.
  • Administering compliance training to staff in respect of regulatory issues and company policies.
  • Maintaining details of all complaints in the complaints register and handling complaints.
  • The monitoring and raising of breaches and maintaining the breach register.
  • The management and monitoring of all conflicts of interest arising and maintaining the conflicts of interest register.
  • Being the whistleblowing champion and implementing and communicating relevant whistleblowing policies.
  • Prepare and forward reports to the firm's Board on an annual basis.
  • Acting as the nominated officer in relation to dealings with regulatory authorities.
  • Overseeing the investigation of suspicious transactions/orders and the submission of reports to the relevant authority as required.
  • Work with the business to drive through a strong compliance culture.
  • Maintain and review policies, procedures and practices to ensure compliance with laws and regulations.
  • Oversee revision, preparation and dissemination of new and updated compliance standards and procedures.
  • Co-ordinate, supervise and support the company's compliance-related programmes.
  • Work with senior management to ensure that the business implements and maintains suitable compliance 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.