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Our client is a well-established investment firm that offers you the opportunity to work together with people who share your drive for success and excellence in all areas.
Regulated by the Financial Conduct Authority and Cyprus Securities and Exchange Commission with more than 20 years’ experience in Financial Services, our client offers their people the opportunity to work with experienced professionals, offering the highest standards in the provision of global online trading services. They’re currently looking for a Head of Compliance to join their team.
- 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.
- 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.