FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Compliance Manager

A start up brokerage firm are in need of a Compliance Manager. My client have an approved license and will begin trading soon. they are looking for a Compliance manager with the view for the candidate to assume CF10/11 within 6 to 12 months. They are an Online Trading Brokerage specialising within CFD's and Forex.

JOB TEXT

This position is for a start up brokerage firm, they have an approved license and will begin trading soon. they are looking for a Compliance manager with the view for the candidate to assume CF10/11 within 6 to 12 months. They are an Online Trading specialising within CFD's and Forex.

Principle Duties & Responsibilities
Main Duties and responsibilities include, but are not limited to:
1. Perform all relevant AML/KYC due diligence client on-boarding procedures on the firm's new clients; including appropriateness assessments and correct FCA customer categorisations
2. Ensure the updating, implementation/execution of the Compliance monitoring programme
3. Quarterly / Monthly returns to the FCA
4. Quarterly reporting to the Board of Directors
5. Signoff of all Marketing literature to ensure regulatory compliance with financial promotion rules requirements and the firm's branding standards
6. Investigation of all client complaints
7. First company point of contact with the FCA
8. Updating and operation of the ICAAP to ensure it is at all times kept as a live document in line with regulatory requirements
9. Liaise with the CEO and BOD to discuss any Compliance corporate issues.
10. Review of the website to ensure regulatory compliance
11. Production of Quarterly and Annual Compliance report
12. Production of Annual MLRO Report
13. Dealing with providers of AML and Payment systems and having oversight of implementation
14. Working with HR to ensure all staff forms are up to date
15. Updating of the Compliance Procedures Manual on a quarterly basis
16. Provide subject matter expertise and knowledge in support of all business process additions or improvements;
Critical Knowledge, Skills & Experience
* Management Competencies for Corporate Responsibility
* Excellent Communication and ability to work alone unsupervised skills
* Sound knowledge of the up to date European regulatory environment together with other regions together with demonstrably excellent well-balanced judgement capabilities
* Integrity and objective thinking
* Solid up to date working knowledge in money laundering prevention including 5th AML Directive
* At least 3 years of consolidated experience in the CFD and FX (non-deliverable markets

A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
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  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 2018-11-14