Deputy Head of Compliance

3 weeks ago

London, UK, United Kingdom Compliance Professionals Full time

THE COMPANY:


We are working with a globally recognized FX and CFD Broker who are on the search for a Compliance Executive to join the firm. The firm are based centrally in the city close to Bank Station.



THE RESPONSIBILITIES:


  • Management and oversight of the compliance department, providing advice as necessary. Assess the effectiveness of the firm’s systems and controls.
  • Updating, maintaining and enhancing the firm’s compliance program, policies and procedures and the compliance manual as and when necessary.
  • Transaction reporting monitoring, to ensure the company continues to meet reporting requirements under FCA, MiFID and EMIR 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 then working with other departments to ensure timely implementation.
  • Attending Committee meetings to present Management Information (MI) on a range of issues including, Anti-Money Laundering (AML), Anti-Bribery and Corruption (ABC), Treating Customers Fairly (TCF), Complaints and staff training and competency issues.
  • Administering compliance training to staff in respect of regulatory issues, UK financial services standards and company policies.
  • Maintaining details of all complaints in the complaints register and handling complaints, including liaising with the Financial Ombudsman Service (FOS).
  • 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 AML reports to firm’s Board on an annual basis.
  • Acting as the nominated officer in relation to dealings with the National Crime Agency.
  • Overseeing the investigation of suspicious transactions/orders and the submission of reports to the relevant authority (FCA, NCA and HMT) as required.
  • Work with the business to drive through a strong AML culture.
  • Maintain and review policies, procedures and practices to ensure compliance with laws and regulations.
  • Oversee revision, preparation and dissemination of new and updated AML standards and procedures.
  • Co-ordinate, supervise and support the company’s AML-related programmes.
  • Work with senior management to ensure that the business implements and maintains suitable AML systems and controls.



EXPERIENCE REQUIRED:


  • 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.










For further information please contact Jordan White - 19007

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