Chief Compliance Officer - London Area, United Kingdom - Maldon Partners

Description

Maldon Partners are recruiting a Chief Compliance Officer (SM16/SM17) on a permanent basis for a market leading Fintech based in London.

The firm has been around for c15years however has recently launched a new platform in which their clients can trade across multiple asset classes all from one place.

The role holder will hold the SM16/17 functions and will also be the Director of Global Compliance with c5 direct reports.

This is a great opportunity for someone who is keen to further establish themselves in a growing industry.

The ideal candidate will have several years of senior compliance experience gained within the retail brokerage space.

Hybrid working 3 days in the office

The Role:

The main purpose of the role is to help lead, manage and oversee all compliance aspects of the firm and to ensure its ongoing compliance with applicable rules, regulations and standards of best practice.

Responsibilities will include:

• CCO (SM16) and MLRO (SM17)
• Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance before those Committees.
• Responsibility to regularly present the scope and implementation of regulatory change to the Board, including the impact the regulations have on the Firm and what steps the business needs to take
• Review developments in AML/CTF
• Design and Undertake the CMP
• Overseeing compliance with FCA rules and regulations
• All appropriate training
• Creating and maintaining policies and procedures
• managing relationships with the regulators
• Team management

Experienced Required:

• Ideally Previously FCA approved as SM16 and SM17
• Extensive knowledge and experience at a senior operational level in a similar financial services/securities institution.
• A strong background in the compliance aspects of electronic and web based business where there is limited direct client contact.
• Excellent verbal and written communication skills.
• Excellent interpersonal skills and experience working with boards of directors
• Demonstrated understanding of FCA rules and regulations
• Excellent Communication skills

Salary:

The Chief Compliance Officer role has a base salary of c£150,000 - £175,000 depending on experience plus excellent benefits and bonus package

Hybrid working is also on offer.

*Please note only candidates who meet the above criteria will be contacted