Compliance Officer / Lead

THE COMPANY:

Our client is a well-established London-based brokerage firm, looking for a generalist to support the SMF16 & 17. This is a fully remote role and will require 25-30 hours per week.

THE RESPONSIBILITIES:

• Responsible for the Firm’s performance of its obligations under the FCA’s regulatory regime for a UK 750k MiFIDPru Investment firm treating Retail, Professional, and Eligible Counterparties.
• Point of contact for AML and compliance queries
• Support the MLRO. (Also possibility either to assume the MLRO position or look to grow into this role in short order depending on experience
• Assistance with non-standard on-boarding of clients (research and document rather than any data entry).
• Preparing for legislative / policy / rule / product changes and reviewing / updating current policies and procedures. To feed into board reporting and compliance development / related new product work.
• Suggest improvements that firm could scope-out and take the lead on researching / proposing and implementing system / product / process upgrades related to Compliance and AML/KYC. This may include developing a Compliance / AML “dashboard” or standard reporting pack.
• Horizon scanning of all proposed changes to the UK financial regulatory regime as applicable to MiFIDPRU firms.
• Internal reporting to the Governing Body.
• Accountable for complaints handling and reporting.
• Oversee the firm’s compliance with evolving AML environment.
• Engagement with exchanges and clearing houses.

EXPERIENCE REQUIRED:

• Demonstrable Generalist Compliance and AML experience ideally within the Retail Brokerage space
• Applicants will need to be comfortable in remote working, or at least remote management support.
• Excellent verbal and written communication skills.
• Sound computer literacy skills e.g. Microsoft Office (Word, Excel etc.) and MS Outlook.

For further information please contact Hannah Tabatabai

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