Senior Compliance Manager - Retail CFD Broker

West End
£70K-£80K + Bonus & Benefits
03 Jan 2018
02 Feb 2018
Job Sector
Experience Level
Contract Type
Full time

Our client is a leading CFD Broker based in the West End of London. They are looking for a Senior Compliance Officer to join their team in a wide and varied role reporting directly to the Head of Compliance.

Main 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.

Job Requirements:

  • Will have strong working knowledge of FCA rules in particular relating to conduct, systems and controls relevant for a retail CFD broker.
  • Strong AML knowledge.
  • Should have excellent oral and written presentation skills.
  • 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.

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