Senior Compliance Manager - Retail CFD Broker
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.
- 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.
- 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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