Compliance Director

cer Financial
London (Greater)
08 Mar 2018
14 Mar 2018
Contract Type
Full Time

Compliance Director
£140,000 - £180,000

cer Financial are working with an Online FX Trading Company to fill their new vacancy of a Compliance Director. They have offices across the world and recognised by the Sunday Times as one of the best up and coming companies to work for. You will hold the control function CF10 and CF11 and manage a team across Compliance and Financial Crime.

The successful Compliance Director responsibilities will be:

  • Scheming robust policies, processes, systems & controls to ensure that the company demonstrably meets relevant requirements of guidelines
  • Offer to the relevant authorities the essential Suspicious Activity Reports / Suspicious Transaction Reports;
  • Create and present to the applicable governance forums regular reporting and management info that a) establishes the Compliance functions’ effectiveness, and b) measures and reports compliance with the requirements;
  • Supervise the investigation of and response to all customer complaints, taking responsibility for the content of the response and any subsequent communication with the Financial Ombudsman Service;
  • Managing the Client Onboarding Team, guarantee that all new client accounts pass adequate due diligence and Appropriateness tests
  • Delivering ad-hoc advice on any Compliance-related matter to colleagues as and when the need arises, including support on projects;
  • Guide and support as required local Compliance and On-boarding staff

The Compliance Director skills will include:

  • Management or finance degree or an other relevant qualification would be beneficial
  • Profound knowledge of FCA and JMLSG requirements and other relevant legislation;
  • Solid understanding of PRA rules;
  • An acquaintance of systems and controls design;
  • Strong practical knowledge of audit / monitoring programme design and implementation;

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