Compliance Manager – CFD / FX Experience needed
Our Client, a leading financial services provider of CFDs and FX, are looking to recruit a Compliance Manager to support the Head of Compliance with the responsibility of conducting compliance monitoring reviews, providing compliance oversight and the implementation of new EU and UK regulatory requirements. Reporting to the Head of Compliance, duties will include:
• Undertaking risk based compliance monitoring reviews on all areas of business, including best execution, transaction reporting, best execution and client money
• Identifying and monitoring product, compliance and operational risks to develop risk management strategies
• Identifying and implementing new EU and UK regulatory initiatives
• Reviewing financial promotions via various distribution channels, including websites of the Group companies, social media, videos and general publications
• Providing advice and support with regulatory queries from the business
• Reviewing, preparing and implementing internal compliance related policies and procedures to ensure that they are up to date.
• Manage and maintain various internal registers, including breach register, PA Dealing and gifts & hospitality registers.
The ideal candidate will have previous compliance experience from a similar CFD/FX organisation with a strong working knowledge of the FCA Handbook. This role may require some international travel.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.