Compliance Officer and MLRO

THE COMPANY:

Our client is a boutique investment and trading firm, providing services such as Equity Markets and Retail Platforms for institutional and private clients.

THE RESPONSIBILITIES:

Compliance Officer:

• Stay up to date with changes to UK compliance laws and regulations issued by the FCA and other relevant bodies
• Together with the Group Head of Compliance, maintain, update, and ensure adherence to all compliance policies and procedures across the firm
• Support the firm’s compliance monitoring programme
• Handle regulatory approvals, appointment of UK senior managers and regulated individuals, and maintain documentation in line with the Senior Managers and Certification Regime (SMCR)
• Prepare and submit accurate regulatory reports through FCA Connect platforms in a timely manner
• Communicate with the Group Head of Compliance to harmonise best practices and promote a uniform approach on financial crime compliance advisory, training, policy and surveillance and monitoring matters across all offices
• Oversee ongoing transactional reviews to detect and mitigate potential compliance breaches
• Together with the wider surveillance team, monitor and investigate trading activity to identify potential market abuse risks and perform surveillance reviews across asset classes and escalate suspicious activity
• Advise senior stakeholders on risks, findings, and remediation strategies
• Oversee the preparation of MI, reports, and updates for senior management and committees
• Proactively audit processes, practices and documents to identify weaknesses and provide an advisory service as to how these can be improved
• Communicate with industry peers to identify latest themes and issues and best market practices
• Any other ad hoc duties that may be required from time to time

MLRO:

• The successful incumbent shall also be the UK MLRO and responsible for overseeing the company’s anti- money laundering (AML) and counter-terrorist financing (CTF) framework. In collaboration with the Gibraltar MLRO, ensure compliance with relevant regulations, maintain AML policies and procedures, conduct risk assessments, and monitor transactions for suspicious activity. They shall act as the primary point of contact with regulatory authorities and law enforcement in the UK and manage the reporting of suspicious activity reports (SARs).

EXPERIENCE REQUIRED:

• Experienced Compliance generalist in the Financial Services sector
• Strong knowledge of CFD, spread betting, derivative products, required
• Strong working knowledge of the FCA Handbook and FINRA rules
• Good knowledge of European financial markets regulation, e.g., MiFID II/MiFIR, MAR
• Strong understanding of AML practices
• Knowledge of market dynamics, liquidity and trading practices
• Well-developed understanding of multiple assets and instruments

For further information please contact Hannah Tabatabai