Chief Compliance Officer - London, United Kingdom - Compliance Professionals

Description

Job Description

THE COMPANY:

Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business.

THE RESPONSIBILITIES:

• Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance
• Undertaking a rolling compliance monitoring programme on a global basis and reporting to the board
• Responsible for the Firm's performance of its obligations under the Senior Managers and Certification Regime (SMCR).
• Providing appropriate regulatory training, including in relation to AML, TCF, SMCR, and KYC,
• Overseeing compliance with FCA rules and guidance, including those relating to conduct risk.
• Presenting the Annual Compliance Report to the Board.
• Drafting and maintaining applicable internal policies and procedures to ensure compliance with regulatory requirements.
• Responsible for leading the investigation of suspected breaches
• Client complaint handling and resolution
• Overseeing the approval process for advertising and research material
• Responsible for ensuring that the firm cooperates with investigations by the FCA and other regulatory bodies.
• Managing all compliance staff and ensuring they receive the necessary support, training,
• Responsibility to regularly present the scope and implementation of regulatory change to the Board, including the impact the regulations have on the business
• Overseeing the Firm's compliance with FCA rules and guidance and applicable legislation relating to financial crime and monitoring as well as updating and reporting to the
• Reviewing developments in AML/CTF law and regulation, including updates by relevant authorities
• Responsible for handling escalations on financial crime matters as well as ensuring oversight of high risk client relationships
• Providing updates and advising the firm on major regulatory developments

EXPERIENCE REQUIRED:

• Currently or previously FCA SMF registered
• Extensive knowledge and experience at a senior operational level in a retail brokerage environment
• A strong background in the compliance aspects of electronic and web based business
• Excellent verbal and written communication skills.
• Excellent interpersonal skills and experience working with board level stakeholders
• Excellent people management and development skills.
• Attained a degree (preferably in law) or equivalent
• Ideally experience working in a global business

For further information, please contact Natalie Eshelby