Compliance Manager
Equifind have teamed up with an exciting digital FX business in London, who are looking to add a compliance manager to the team. The business has grown considerably over the past few years due to high demand and market growth, so you have a chance to join a fantastic working environment where everyone has a voice to create a collaborative culture. We are looking for a compliance manager, who is ready to take the next step in their career and aiming to be SMF16 for the business. If this is you, then please reach out to us. Key duties and responsibilities for this compliance manager position include: Assist the current SMF16/17 on liaison with the regulators and the NCAResearching regulations and legislations; acting as advisory support to the Head of CompliancePreparation and review of documentation for high-risk clients, escalating to the MLRO as requiredAssisting with review and investigation of internal SARs and STORsMonitoring and completion of ongoing Compliance Monitoring Program obligations, such as Best Execution, TCF, Onboarding reviews and Complaints handlingMonitoring of transactions in respect of AML and MARAssisting with any regulatory matters, including AML/CDD, MAR, MiFID II, SMCR, PRIIPsManage the new client onboarding process, guiding clients through the onboarding process, ensuring compliance with regulatory requirements and internal policies.Complete due Diligence checks on potential clients to identify and mitigate risks associated with AML and KYC regulations. Verify client information and perform background checks using internal and external data sourcesStay up to date with relevant regulatory compliance requirements and industry best practices. Ensure compliance with AML/KYC regulations and implement necessary procedures to mitigate potential risksWork closely with the wider compliance team in the group to ensure a smooth onboarding experience for clients.Maintain accurate and up-to-date client records, including all relevant documentation and correspondence. Ensure proper filing and storage of client information in accordance with data protection and privacy regulations. Experience & Qualifications 5+ years’ practical experience in a compliance positionStrong understanding of client onboarding, AML and KYC regulations, with a proven ability to conduct thorough due diligence and identify potential risks.Knowledge of foreign exchange and cryptocurrency markets would be a big plusExcellent communication and interpersonal skillsAttention to detail and strong organizational skills, with the ability to manage multiple tasks and prioritize effectivelyProficiency in using CRM systems, trading platforms, and other relevant software applicationsSignificant knowledge of FCA industry standards, regulations, and anti-financial crime matters About the business A new player in the global financial services space with a strong focus on both the traditional and digital offerings. The company has an exciting management team that has a proven track record in the brokerage sector. The business has a strong focus on technology and its user-friendly platform is a key component in driving the business forward and offering a high customer experience. With multiple offices across the Europe, you will be joining a business in the growth phase and work closely with multiple stakeholders across the business, on a regular basis. You will take on all the senior compliance duties for the London office, as well as the managing the entire onboarding process. This is a real generalist role. Salary This exciting opportunity for a compliance manager will ideally start as soon as possible but we will look at all level of candidates on notice periods. We will be looking at candidates in the range of £70k-£90k depending on individual backgrounds, qualifications, and years of experience. This is a hybrid opportunity and three days per week in the office is required.
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