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Compliance Officer - FX / CFD (CF10, CF10a, CF11)

Posted 26 February by Centre People Ended

Compliance Officer - FX / CFD (CF10, CF10a, CF11)

A well-established global firm based in the heart of the City of London is looking for a Compliance Officer to oversee the compliance function for its FX and CFD business. This position will be the registered function for CF10, CF10a, CF11 with the FCA, and have responsibility for all aspects of compliance & operations for this part of the business.

TYPE: Permanent, full time

LOCATION: City (St Pauls / bank area)



  • Maintenance of clear and appropriate apportionment of significant responsibilities so it is clear who is responsible for areas of the business and to ensure the business can be adequately controlled and monitored
  • Ensure that appropriate systems are in place to monitor risks
  • Maintenance of compliance monitoring programme
  • Deal with external organizations including: the FCA, FOS, auditors and external compliance consultant
  • Reporting to senior management
  • Monitor systems to ensure that they are working as intended, through completion of firm’s risk based monitoring program in compliance with FCA’s rules
  • Maintenance of the risk register and ICAAP, including monitoring of firm’s capital requirement
  • Preparation and submission of reports and regulatory return to FCA
  • Maintenance of register (and notifies FCA if required) of FCA rule breaches and takes appropriate remedial action
  • Identification and management of money laundering risks
  • Preparation and submission of annual MLRO report to management
  • Receive internal AML reports from firm’s staff and report to NCA, where required
  • Management and oversight of new client on-boarding process
  • Responsible for client money reconciliations & CASS resolution pack
  • Completing the client money asset returns monthly
  • Assist in updating of CASS policies and procedures
  • Effectively reviewing client transactions daily to ensure the treatment of client money/custody assets is compliant with the CASS rules


  • Bachelor degree holder or above in Law, Business, Finance or related disciplines
  • 3+ years’ experience in a CF10, CF10a & CF11 FCA controlled function is essential
  • 3+ years relevant experience in FX & CFD industry
  • Knowledge of the CASS rulebook and how to apply the rules to a firm’s operations
  • Good communication and organisation skills
  • Willing to work in a small office in London
  • Excellent English (written and spoken) skills

If your application is successful, you will be contacted within 2 days. We regret that due to the high volume of applications we receive we cannot provide feedback on individual CVs.

Required skills

  • Compliance
  • Compliance Monitoring
  • Financial Services
  • Foreign Exchange
  • Compliance Procedures

Reference: 34560998

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