Senior Compliance Officer - FX
Our client is a UK-based corporate foreign exchange company and due to continued growth they are looking to recruit a Senior Compliance Officer. Although operating in a boutique environment you will have an opportunity to join a business which has ambition expansion plans over the next few years.
The role of Senior Compliance Manager is broad requiring an understanding of two sets of regulations and all related guidance and rules, including the JMLSG guidance notes, HMRC Money Laundering Regulation, EMIR, MIFID and MIFID ii.
The Senior Compliance Manager will be expected to gain and hold the regulatory status in the Control Functions of CF10 and CF11 along with being registered as a Nominated Officer and MLRO with HMRC.
You will be responsible for:
- Managing the Compliance team
- Maintaining a programme of actions to ensure that the businesses comply with their regulatory obligations.
- Oversight of client on boarding.
- Compliance monitoring program.
- Client transactions.
- Dealer execution.
- Client appropriateness assessment.
- Oversight and reconciliation of client funds in accordance with PSR’s and CASS rules.
- Regulatory filings to FCA and other relevant bodies.
- Providing regulatory briefings to senior management.
- Regulatory reporting to HMRC as required.
- Overseeing of EMIR reporting, including LEI registration.
The ideal candidate will have:
- Previously worked in a generalist role within an FX environment
- Knowledge of appropriate areas of the FCA handbook in relation to FX
- Strong communications and interpersonal skills
- Ability to liaise with and influence stakeholders across the organisation
- A commitment to continuous improvement and change management