Assisting the MLRO with all matters in respect of anti-money laundering, market abuse, financial crime and reporting to the relevant regulators and authorities when required.
Advising senior management and directors on compliance and regulatory matters.
Preparing and presenting monthly compliance reports to the executive committee.
Preparing and submitting compliance related returns to the relevant regulators such as FCA and NCA as required.
Responsible for management of the Compliance team
Arranging the day to day work of the compliance department to ensure deadlines are met.
Oversight of compliance monitoring and associated policies/procedures and systems.
Writing and updating appropriate policies and procedures in relation to compliance and regulatory matters including the compliance manual.
Liaising with the FCA relating to approved persons.
Job Requirements:
At least 5 years Compliance & Financial Crime experience from within a similar Spread Betting & CFD fund business.
Previous team management experience preferable
Strong academic background & relevant professional qualifications an advantage.
Self-motivated with an excellent eye for detail.
Excellent communication skills, both written & verbally.
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