Compliance Manager - Northwood, United Kingdom - Careers In Group

Careers In Group

Verified Company

Northwood, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Reports To:
Chief Executive Officer
Department: Compliance

Education:
Graduate Degree (with a legal background will be preferred)

Salary / Package:

Up to £75k, depending on experience
Based at Head Office
Northwood Hills,Middlesex
Private health insurance
Generous holiday entitlement

Purpose of Role:

Key Responsibilities

To support the Company's SMF16 in delivering a suitable compliance strategy and framework for the business
Coordinate with other departments at Spread Co to direct compliance issues
Take responsibility for managing complaints handling process (internal and external, including complaints escalated to the Financial Ombudsman Service)
Act as point of contact with the FCA and oversee reporting of returns to the FCA, including but not limited to; financial, complaints, transaction reports, SMCR reports
Ensure that procedures for the acceptance of new clients are consistently applied
Maintain a detailed, robust and high value compliance training and monitoring programme
Monitoring for market abuse
Proactively lead on defining and managing the completion of compliance related projects
Providing practical strategy and guidance to other department heads in order to assist in achieving commercial objectives within the boundaries or regulatory and legal requirements
Manage internal policies and proactively draft/redraft policies in light of changing marketplace factors
Ideally be a graduate, with some relevant knowledge of the financial spread betting and CFDs industry
Be familiar with the current regulatory environment and with the FCA Handbook
Be capable of working with people at all levels and be able to operate independently as well as being a strong team player
Have excellent written and verbal communication skills
Have the ability to work under pressure and multitask
Have the ability to analyse and interpret data and present the findings clearly
Have the ability to advise on the relevant regulatory framework and retain a sense of commercial reality
Have excellent organisation and time management skills

The role presents a great opportunity for an established compliance professional with drive, determination, a proactive approach and excellent problem-solving skills.

The environment is fast-paced and the opportunity is rewarding, offering the prospect oftaking your career to the next level.

Key Relationships

CEO/SMF1
Head of Client Services
Head of Marketing
Developers
Sales Team

About Spread Co

Spread Co is a leading online provider of spread betting, CFD and Forex trading on the world's financial markets, including shares, indices, currencies and commodities.

Spread Co is based in North London and is authorised and regulated by the Financial ConductAuthority (FCA) in the UK.