Head of Compliance / MLRO
Maldon Partners are recruiting a Head of Compliance and MLRO CF10/CF11 on a permanent basis for a Global Leader in online trading. The role will report directly into the CEO and will have 2 direct reports. The ideal candidate would have come from a FX/CFD background and would have previously held the CF10/CF11 Functions.
My client is willing to consider candidates who are looking to step up into the CF10/CF11 functions provided you have extensive compliance experience gained within an FX/CFD Broker and you believe you will have no issues in getting FCA approved.
The role holder will be responsible for ensuring that the Company complies with all regulatory requirements, including compliance with AML requirements, undertaking compliance monitoring, and managing day-to-day compliance activities
Responsibilities will include but not be limited to:
* Ensure the company maintains a strong compliance environment through the application of appropriate policies and procedures
* Oversea all reporting to the FCA
* Assessing and implementing regulatory changes
* Acting as the registered CF10/CF11
* Ensure compliance with all appropriate regulations, including those of the FCA and in other jurisdictions in which the company operates
* Review customer complaints, investigate where appropriate, and work with staff in business departments to ensure compliance with Company policies on customer complaints. Monitor and coordinate complaints escalated to the Financial Ombudsman Service
* Review and approve all material on the company?s website, and on partners? websites, to ensure adherence with regulatory requirements and company standards
* Assess internal and external risks, maintain risk registers, and prepare risk reports for the Board
In order to apply for the role you will have:
* Extensive compliance experience gained within a FX/CFD Broker
* Financial / Professional qualifications are an advantage.
* Previous management experience desired but not essential
* Previously held or ability to hold CF10/CF11 FCA Approved functions
* Good computer skills
Salary on offer is c£75,000 - £100,000 depending on experience and is based in the city of London
This job was originally posted as www.jobsite.co.uk/job/959487969