Chief Compliance Officer

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
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