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- Tasks: Lead compliance efforts for a global trading platform, ensuring adherence to regulations.
- Company: Join a rapidly growing FX and CFD trading firm based in the heart of London.
- Benefits: Enjoy hybrid working, competitive salary, and a fantastic bonus package.
- Why this job: Be part of an innovative team with exciting growth plans and impactful projects.
- Qualifications: Must have experience in compliance within FX/CFD firms and hold SMF16/17.
- Other info: Work closely with a supportive team and contribute to shaping compliance processes.
The predicted salary is between 110000 - 120000 £ per year.
Maldon Partners are recruiting a Chief Compliance Officer SMF16/17 on a permanent basis for a global Institutional FX and CFD Trading Platform based in the City of London. The role will report directly into the company Director and requires an experienced compliance professional who has previously held the SMF16 and SMF17 ideally in a FX/CFD firm. The company currently operates in over 15 countries and is currently in super growth mode, with big plans to launch new products and services. Their client base is Institutional not retail so requires a candidate with relevant experience. Hybrid working 3-4 days in the office.
The Role: The Chief Compliance Officer SMF16/17 will be responsible for ensuring that the firm maintains compliance with all applicable rules and regulations. You will have the support of 2 offshore compliance associates. Responsibilities will include but not be limited to:
- Oversee and manage the Compliance Monitoring Programme
- Registered Compliance Officer and MLRO
- Update compliance manual and policies and procedures
- Compliance monitoring and report findings to the board
- Oversee all reporting
- Provide regulatory and compliance advice to the business
- Review and approval of FinPro and Marketing Material
- Training
- AML/KYC
- Undertake any ad hoc compliance projects
- Identify opportunities to improve compliance processes as the business grows.
Experienced Required: A strong background of working in Compliance within a FX/CFD trading firm. Previous experience of holding the SMF16/17 or the ability to step up into this role. Excellent verbal and written communication skills. Competently manage own workload and priorities. Be self-motivated and proactive within day-to-day responsibilities. Strong analytical skills and attention to detail.
Salary: The Chief Compliance Officer role has a base salary of c£110,000 - £120,000 (some flex) depending on experience plus excellent benefits and bonus package. Hybrid working 3-4 days in the office is also on offer!
*Please note only candidates who meet the above criteria will be contacted.
Chief Compliance Officer SMF16/17 employer: Maldon Partners
Contact Detail:
Maldon Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Chief Compliance Officer SMF16/17
✨Tip Number 1
Network with professionals in the FX/CFD industry. Attend relevant conferences or webinars to connect with potential colleagues and industry leaders who can provide insights into the role and company culture.
✨Tip Number 2
Familiarise yourself with the latest regulations affecting the FX/CFD sector. Being well-versed in current compliance issues will demonstrate your expertise and commitment to the role during interviews.
✨Tip Number 3
Prepare to discuss specific compliance challenges faced by FX/CFD firms. Think about how you would approach these issues and be ready to share your strategies and past experiences.
✨Tip Number 4
Showcase your leadership skills and ability to manage a team effectively. As the Chief Compliance Officer, you'll need to inspire and guide your offshore compliance associates, so be prepared to discuss your management style.
We think you need these skills to ace Chief Compliance Officer SMF16/17
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance, particularly within FX/CFD trading firms. Emphasise any previous roles where you held the SMF16 or SMF17 positions.
Craft a Compelling Cover Letter: Write a cover letter that specifically addresses the responsibilities outlined in the job description. Mention your relevant experience and how it aligns with the company's goals, especially in compliance monitoring and regulatory advice.
Showcase Your Skills: In your application, clearly demonstrate your analytical skills and attention to detail. Provide examples of how you've successfully managed compliance processes or improved them in past roles.
Follow Up: After submitting your application, consider sending a polite follow-up email to express your continued interest in the position. This can help keep your application top of mind for the hiring team.
How to prepare for a job interview at Maldon Partners
✨Showcase Your Compliance Expertise
Make sure to highlight your previous experience in compliance, especially within FX/CFD firms. Be prepared to discuss specific regulations you've navigated and how you've ensured compliance in past roles.
✨Demonstrate Leadership Skills
As a Chief Compliance Officer, you'll be leading a team. Share examples of how you've successfully managed teams or projects in the past, particularly in high-pressure environments.
✨Prepare for Regulatory Questions
Expect questions about current regulations affecting the FX/CFD industry. Brush up on recent changes and be ready to discuss how they impact compliance strategies.
✨Emphasise Analytical Skills
Given the analytical nature of the role, be ready to provide examples of how you've used data to inform compliance decisions. Discuss any tools or methodologies you’ve employed to enhance compliance processes.
