Head of Compliance

Job Overview

Job Description

Our client is a global business, based in London with almost two decades of experience in online Trading. With a multi-asset class platform, industry spreads and world-class market analysts, the company has grown to become the financial trading provider of choice for serious traders.

They are looking to hire a Head of Compliance. The successful candidate should have a strong background in compliance.

Job Responsibilities

  • Advise the front office on relevant requirements.
  • Provide guidance with regard to all FCA rules applicable to an agency broker.
  • Keep abreast of jurisdictional changes and challenges throughout Europe.
  • Respond to regulatory enquiries.
  • Prepare reports for internal management.
  • Advise on regulatory changes and developments.
  • Develop and implement an appropriate Compliance Strategy.
  • Monitor and assess the effectiveness of systems and controls, in line with regulatory requirements
  • Review and updating the relevant Policies and Procedures.
  • Administer the investigation of customer complaints
  • Oversee Approved Persons registrations and de-registrations
  • Ensure the Firm’s appropriateness assessment is up to date with regulatory requirements
  • Maintain knowledge of regulatory developments and current affairs concerning sanctions, Anti-Money Laundering and Terrorist Financing, Legal and regulatory obligations under the Money Laundering Regulations, Proceeds of Crime Act, Serious Organised Crime, Market Abuse, bribery and corruption.
  • Conducting annual Risk Assessments
  • Support the ongoing relationship including any communication with the regulatory authorities, and ensure that the systems and controls are fit for purpose.

Requirements

  • Will have a strong working knowledge of FCA rules, in particular, relating to conduct, systems and controls.
  • Must have strong background in compliance.
  • Should have excellent oral and written presentation skills.
  • Must be driven, articulate, proactive, approachable and pragmatic with a risk based in approach.
  • Computer literate, proficient in Word, Excel, PowerPoint.
  • Must have a strong work ethic and proven ability to mentor and provide leadership when required
  • Ability to work well under pressure, and manage a number of different tasks at the same time.
  • Team player, contributing to the success of the Compliance function.
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