Head of Compliance
- GBP90000 - GBP140000 per annum + bonus
- London, England, United Kingdom
- Permanent, Full time
- 19 Sep 16
My client is a leading financial services firm looking to hire a new Head of Compliance . This role will report into the Chief Risk Officer.
- As CF10/CF11 for you will have responsibility for the Compliance Oversight function including AML at the firm maintaining and updating policies, governance, training, compliance monitoring etc.
- You will be the key liaison in the firm's relationship with the FCA and other regulators as a regulated Broker, including managing projects for new permissions/licences.
- You will be part of the Broker senior management team and responsible for compiling MI for and a key participant in a monthly Broker senior management Meetings.
- To monitor and communicate compliance concerns to the Operational Risk Committee and Chief Risk Officer
- Act as point of contact within the company for compliance queries, providing advice and support to the business on a range of compliance related issues
- To prepare and deliver an annual Compliance Monitoring Plan
- To prepare and deliver an bi-annual MLRO reports
- Play a key role in the establishment of policies and procedures, and the assessment and monitoring of compliance requirements
- As CF11 Provide advice to the business on AML matters
- Investigating SAR's and file NCA reports, where appropriate
Experience and Skills Required:
- Experience supervising a team of compliance/AML associates
- Compliance experience FX or CFD broker,
- Up to two years' experience as CF10/11 or looking for first role as CF10/11
- Strong regulatory knowledge;
- Excellent communication skills both verbal and written
- Comfortable with working in a young, technology driven environment with a great deal of responsibility and autonomy
- Desire to contribute to success in areas beyond the core compliance areas
- Solid and current experience working within a compliance role
- Proven track record in building strong and constructive relationships with colleagues