Head of Compliance EMEA recruitment
Our client is an industry leading Spread betting and Contract For Difference trading house. Having been established for nearly 30 years they have solidified their presence with customers in over 50 countries and are the leading provider of CFD’s in the UK. They are looking for a Head of Compliance across EMEA to report directly into the Group Head of Compliance and Legal. This broad position provides the opportunity to hold Control Functions CF10 and CF11, as well as the oversight of offices in over 5 countries.
Your main responsibilities will be:
• Ensuring the firm meets its statutory and regulatory obligations and group requirements in respect of Compliance and money laundering prevention.
• To be registered Money Laundering Reporting Officer and for Compliance oversight for the firm (CF11 CF10).
• Liaising and interacting with the FSA, Data Protection Information Commissioner, and The Office of Fair Trading as the primary point of contact.
• Managing a team of Compliance Professionals as well as interacting with senior management with regards to compliance and Anti Money Laundering matters.
• Managing the Compliance Function effectively; ensuring all monitoring, programmes and plans meet the required standards.
• Ensuring clients are treated fairly; complaints are reported and then dealt with efficiently and effectively, to produce Management Information and reports to the business.
• Developing appropriate documentation, policies and procedures to take account of regulatory, legislative and industry requirements.
• Receiving reports of suspicious transactions/circumstances and preparing reports for the internal management and external authorities as appropriate.
This position is suited for someone with over five years experience within Compliance, with a solid understanding of FSA Rules and AML requirements. You will have previous experience of compliance monitoring programmes as well as risk analysis and management. The broad remit of the position will require you to utilise your versatility and adaptability within an environment that could change daily. This role provides the opportunity for you to develop your management skills through leading a tight-knit team of professionals, whilst challenging yourself through acting as the global point of contact for a well respected industry expert.
To discuss this opportunity and others within Spread Betting, please contact Agi Heale on 02031453376 or at agi.heale@bruinfinancial.com.