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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