We are pleased to be working with this FX brokerage which boasts excellent credentials and an innovative market approach. This role is a Head of Compliance position, with CF1, CF10 and CF11 responsibilities. From a regulatory point of view the company is in excellent shape. As such the focus will be BAU functions with the chance to build and develop a best in class framework and practice to handle expanding business activity and market participation.
Key duties include:
- Lead the firm's Compliance operations by directing and coordinating activities to ensure that all compliance requirements are maintained in accordance with current and future regulatory requirements,
- Contribute to regulatory best practice with lead responsibility for matters comprising Regulatory Risk Management, Anti Money Laundering and Countering Terrorist Financing, Anti-Fraud, Anti-Bribery and Corruption and Ethics frameworks
- Maintain knowledge of compliance and regulatory issues concerning FX market, execution and full trade cycle.
- Lead point of contact for FCA, PRA, Bank of England etc
- Manage Regulators Approved Person regime and requirements
- Oversight of CASS Operations ensuring appropriate segregation and security of client funds and data
- Undertake CF10, CF10a and CF11 duties as defined in the FCA Handbook
Candidates will need to have been a Head of Compliance and a previous or current CF10, ideally in a dual role with MLRO duties. This needs to be in a FX or other smaller firm environment, there is huge emphasis on leadership and decision making in this role. Candidates who have held a hybrid CF10 / CF1 role with operational or COO duties would be encouraged to apply here as they will have the necessary breadth of exposure demanded here.
Please note the role is permanent and a job spec available
- Head of Compliance