Head of Compliance
Location City of London
Consultant Claire Wright
Date posted 13 February 2017
One of the UK’s leading FX Brokerages city are looking for a new Head of Compliance to lead their compliance team based in London. As a member of the senior management team you will take responsibility if the compliance and AML functions across the business looking at both Payment Services regulations and FSMA. Good knowledge or current and emerging regulations is vital along with strong management skills.
Key Head of Compliance responsibilities:
- Maintain policies and procedures to ensure all areas of the business are compliant
- Oversight of all client on boarding
- Continuously looking after the Compliance Monitoring programme
- Reconciliation of client funds in accordance with PSR’s and CASS
- Providing regulatory filings to FCA and all other relevant bodies
- Oversight on EMIR reporting and LEI registrations
You will be commercially orientated and flexible in nature whilst having the skills and ability to liaise with senior stakeholder and regulators across the business. You be expected to gain and hold both CF10 & CF11 status a swell as being registered as MLRO.
You will have experience in:
- Regulatory reporting and filing
- Co-ordinate relevant financial regulatory returns including COREP
- Experience across all compliance functions including Financial Crime, AML and Policies
- Staff training on all compliance matters
- Good knowledge of regulations affect the industry
If you are interested in this exciting Head of Compliance opportunity please contact me or click to apply.