This brokerage is rapidly expanding and offers multi-asset Prime Brokerage services, FX or FOREX and CFD liquidity to a range of clients. This brokerage has global coverage with multiple offices worldwide. The team is currently small in size but is growing; offering a great opportunity to join and help grow the function.
Specifically your responsibilities will include:
- Assisting the MLRO in the implementation and operation of AML, financial crime, including Anti Bribery & Corruption (ABC) controls and procedures
- Assisting the Head of Compliance in the development of a risk-based Compliance Monitoring Programme
- Producing and submitting all relevant Compliance, AML and financial crime risk policies and procedures for board approval
- Leading the team in the undertaking of AML and financial crime risk assessments
- Reviewing updates from FCA, JMLSG, HMRC, ESMA, FATF and other relevant Regulations
- Assisting the CF10 and CF11 in the leadership of the compliance department and ensure that appropriate compliance advice is provided to business units in the UK and global offices in a timely fashion
- Approval of any Financial Promotions issued by the Marketing team
To be considered for this job, you will have the following experience:
- Successfully held a FCA control function as MLRO (CF11) within an authorised and regulated investment firm or a Deputy MLRO with exceptional experience who is able to demonstrate they are more than capable of stepping up to this high level of role maybe considered
- Good educational level and previous experience of similar role (ideally within UK within FCA regulated and authorised Forex/CFD broker space), including a combination of compliance and AML/financial crime
- Broad general knowledge of relevant legislation, regulation and other applicable requirements, as well as the current regulatory environment and agenda, especially in the UK and at EU level
- Familiarity with industry practice in the regulated Forex broker sector, as well as with sound systems and control arrangements relating to compliance and AML/financial crime matters
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes, Financial Crime Compliance Recruitment Consultant at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.