Deputy Compliance Officer & MLRO - Trading
Our client offers spread betting and CFD trading services to retail, institutional and high net worth customers delivered via their award-winning trading platform.
Key responsibilities include:
- Advising senior management and directors on compliance and regulatory matters.
- People management - responsible for a team of Compliance & Legal Analysts
- Assisting the MLRO with all matters in respect of anti-money laundering, market abuse, financial crime and reporting to the relevant regulators and authorities when required
- Arranging the day to day work of the compliance department to ensure deadlines are met.
- Assisting the Head of Legal and Compliance with internal and external audit matters relating to compliance issues, monitoring and regulation.
- Oversight of compliance monitoring and associated policies/procedures and systems.
- Handling FCA information requests and customer complaints in an appropriate and timely manner and record and review such requests/complaints as required.
- Preparing and submitting compliance related returns to the relevant regulators such as FCA and NCA as required
- Assisting the Head of Legal and Compliance to ensure that the firm has an adequate supervisory system in place, to continually review the effectiveness of the firm’s policies, procedures and systems and establish internal controls and make appropriate changes when necessary.
- Writing and updating appropriate policies and procedures in relation to compliance and regulatory matters including the compliance manual.
- Liaising with the FCA relating to approved persons.
- Oversight of the firm’s financial promotions.
- The candidate will have at least 5 years Compliance and Financial Crime experience within the Financial sector ideally in a trading or brokerage environment
- Knowledge of the FCA handbook and, in particular, COBS, SYSC, SUP and DISP is required.
- The suitable candidate will be degree educated (or equivalent). Preference will be given to candidates with a Law Degree and/or Compliance qualification.
- Some experience will have been gained as a Line Manager of a small team.
- The successful candidate must be able to demonstrate an ability to use his/her initiative to problem solve with the minimum of day-to-day supervision.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
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