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Deputy MLRO & Compliance Officer

  • Location: CIty of London
  • Salary: £65,000 - £85,000
  • Job type: Permanent
  • Job reference: PD/172352
  • Sector: other Financial Services , Other Financial Services
Job Description

A multinational CFD business are looking to recruit an experienced Deputy Head of Compliance & MLRO to join the growing business.

 

Your responsibilities will include:

  • Leading the compliance team of 4.
  • Assisting the MLRO with all aspects of AML, Market Abuse, Financial Crime and regulatory engagement.
  • Oversight of compliance monitoring and associated policies/procedures and systems.
  • Advise senior management and directors on compliance and regulatory matters.
  • Preparing and submitting compliance related returns to the relevant regulators such as FCA and NCA as required.
  • 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 and Oversight of the firm’s financial promotions policy.
  • 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.
  • Assisting the Head of Legal and Compliance with the preparing of the quarterly reports to the audit and compliance committee.

 

Requirements

  • Extensive Financial Crime and Regulatory Compliance experience
  • Experience as a Manger or Team Leader
  • Experience of CFD/Spread Betting industry (either currently or previously)
  • Good technical knowledge in particular COBS, SYSC SUP or DISP in particular, COBS, SYSC, SUP and DISP
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