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(Senior) FX Compliance Manager

Posted 3 February by Mcqueen & Pitt Consultants Limited Easy Apply Featured Ended

My client, a well-established global investment firm, is looking for a Compliance Manager to manage the compliance function for it's FX and CFD business. This position will be the registered CF10, CF10a, CF11 with the FCA and have responsibility for all aspects of compliance & operations for this part of the business.

Job Responsibilities:

  • Reporting to the board and senior management.

  • 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.

  • 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 the Board.

  • 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.

Job Requirements:

  • Bachelor degree holder or above in Law, Business, Finance or related disciplines

  • Previous experience of CF10 & CF11 FCA controlled function is a must, CF10a experience is an advantage.

  • At least 3 years relevant experience in FX & CFD industry

  • Knowledge of the CASS rulebook and how to apply the rules to the firm’s operations

  • Mature, responsible, detail minded, flexible, can-do attitude

  • Good communication and organization skills

  • Willing to work in a small office in London

  • Good command in written and spoken English, understanding of Chinese language is a big plus

Collected personal data is used for recruitment purpose only

Interested parties, please send full resume with current & expected salary to us.

Required skills

  • Compliance
  • FX trading
  • CF10
  • CF11

Reference: 34185574

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