Chief Compliance Officer - Ref 13067 Chief Compliance Officer - Ref 13067 …

Carr Lyons
in London, United Kingdom
Permanent, Full time
Last application, 07 May 21
180000
Carr Lyons
in London, United Kingdom
Permanent, Full time
Last application, 07 May 21
180000
Posted by:
Duncan Jeffery • Recruiter
Posted by:
Duncan Jeffery
Recruiter
My client are an FX specialist and are authorised as a payments services firm. They have retained me to look for a Chief Compliance Officer. This role will be SMF3, SMF16 registered. You will be responsible for ensuring the firm operates in compliance with regulatory obligations.

Key Job Functions:

Responsible for all aspects of Compliance

Business and Compliance Strategy

Regulatory & Financial Crime Requirements

Compliance Culture

Compliance Training

Compliance Change

Compliance Monitoring

Risk Management 

Technology and Data

Data Privacy

 

Key Stakeholders:

Member of the Executive Committee, Front Office Business units, Operational management, Compliance Department, Senior Management, HR, Regulators, Trade Bodies


 

Key Skills / Experience

People Management - 4 direct and 18 indirect reports

Strong FX and derivatives knowledge

Previously worked in a regulated firm

Strong FCA Handbook knowledge

Credibility with clients

Collaborative

Pragmatic

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