Acting Head of Compliance - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
London, United Kingdom

2 weeks ago

Tom O´Connor

Posted by:

Tom O´Connor

beBee Recruiter
Description

Ref: 3941G
**£550-£700 PER DAY

Our client, a global online brokerage, is looking for a Head of Compliance and Operations for their London Office.
You will be responsible for all compliance and AML matters as well as operations for the UK business.
Reporting the UK CEO and managing asmall team, duties will include;

  • Provide compliance advice to the company, ensuring the understanding of and compliance with the legislation applicable to the company.
  • Perform the responsibilities of the Money Laundering Reporting Officer (MLRO)
  • Monitor new and proposed changes in the standards, legislation, and notifications from regulators and update internal policies and procedures accordingly.
  • Identify and assess compliance risks, devise strategies for mitigating potentially adverse compliance and regulatory actions and share detailed risk reports.
  • Liaise with regulatory authorities as required.
  • Develop and lead the implementation of strategy for monitoring compliance, audits, reviews, and action plans.
  • As COO, responsible for daytoday oversight particularly around Sales & Marketing as well as board level Corporate Governance and Leadership
You should have Compliance experience in a fully regulated FCA firm including experience of liaising with the FCA.

You should also have a good understanding of AML and either experience in Securities Trading or a broader Fintech but willing to pick up theCompliance & Product nuances of Securities Trading.


NB our client is equally interested in Consultants available immediately for 3 months minimum or those looking for a permanent role (on a commensurate salary including a generous bonus) if also available for immediate start.

If you feel you have the above average interpersonal skills and technical knowledge to help the business grow in the UK
then forfurther information or a confidential no obligation discussion, please feel free to call Gary Collins on or send your details to him at
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
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