Compliance Manager (FX)
Compliance Manager vacancy with London based FX Firm
Role Details:
* This is a broad and generalist Compliance Manager role, reporting in to the Head of Risk Compliance with a view to eventually taking on the CF10 and CF11 registered control functions.
* Policies and Procedures:
* Financial Crime Manual and Anti-Bribery.
* Gifts and benefits.
* Breaches.
* COBS.
* Client Money.
* Capital Adequacy.
* Complaints and Investigations.
* Suitability.
* Categorisation.
* Conflict of Interest.
* Best Execution.
* Selling Guidelines.
* Payments (Third Parties, Sanctions).
* Reliance Certificates.
* Annual review and ad hoc updates as and when new rules and regulation is introduced.
* Approvals: Financial Promotions and Approved Persons Regime.
* Account Opening/On-boarding:
* KYC and AML.
* Company checks and Individual checks.
* CDD and EDD.
* Annual MLRO Report.
* Compliance Monitoring: Transaction monitoring, client communication monitoring and sanctions alerts.
* Compliance Reports and Regulatory Fillings.
* Compliance Training:
* New starters.
* Annual AML.
* Department Workshops.
* Ad hoc TCF, AML, Conduct of Business.
* Handling internal and client Enquiries and Complaints.
* First point of contact for the FSA, HMRC, Borders Agency and Police.
* Respond to Production Orders and Investigations.
* Regulatory Changes and Updates - keep abreast of regulatory changes and update Senior Management.
Skill Set Required:
* Proven track record working in a generalist compliance role,
* Strong understanding of HMRC and anti-money laundering guidelines.
* Strong understanding of FSA's COBs, SYSC and Client money rules.
* Able to work well autonomously but also as part of a wider team.
* Knowledge of ICAAP preferred
* Excellent communication skills.
Leave a Reply
You must be logged in to post a comment.