Chief Compliance Officer (m|f|x)

The Chief Compliance Officer and Money Laundering Reporting Officer (MLRO) for FDA Ltd. has a significant role in protecting the interests of the Fidelity organisation and its clients. The individual will oversee, develop, and implement programmes to support FDA Ltd’s compliance with the FCA rules. This includes creating, monitoring, and reviewing policies, procedures, and systems to ensure compliance and minimise risks. Additional responsibilities include identification and co-ordination of projects with internal and external partners, development, and delivery of compliance training, monitoring for regulatory changes and industry trends, and overall development of an effective compliance programme. As Head of AML/CFT for FDA Ltd., responsibilities include development and implementation of an effective anti-money laundering and counter terrorist financing compliance program and acting as the MLRO.

• Responsible for compliance with obligations including receipt and oversight of compliance related services for FDA Ltd.
• Assist FDA Ltd in addressing general and specific compliance matters and with the overall compliance programme (including FCA digital asset requirements). Provide input and identify solutions to senior management concerning compliance issues in a timely and effective manner.
• Develop, implement and maintain effective policies and procedures; maintain a Compliance Manual and policies to ensure effective coverage of FDA Ltd’s regulatory requirements.
• Train and advise FDA Ltd’s staff on regulatory requirements and promote compliance awareness.
• Maintain relationships with local regulators and self-regulatory organisations regarding compliance matters.
• Evaluate FDA Ltd’s systems and controls for adequacy in identifying compliance or regulatory breaches and communicate breaches and the resolution/status of issues to senior management in FDA
• Facilitate regulatory inquiries and examinations, working in co-ordination with compliance colleagues in the UK, US and Ireland
• Lead regulatory reports and external inspections and make regulatory filings and applications as appropriate.
• Liaise with Legal function and external counsel as appropriate on regulatory matters.
• Maintain open channels of communication with all relevant functional areas (e.g. Ethics Office; Global Sanctions/Anti-Corruption Program Office; Corporate Communications) and report regularly to senior management about activities of FDA Ltd.
• Work closely with technology team and senior management to define detailed business requirements for systems initiatives aimed at improving the operating efficiencies and monitoring capabilities of the group.
• Ensuring an effective risk-based AML/CTF/Sanctions Compliance Programme including anti-money laundering, anti-terrorist financing and government and economic sanctions requirements
• Maintaining an AML risk assessment framework for the Firm tailored to the Firm\’s money laundering and terrorist financing risk profile and ensuring adequate policies, procedures and controls are in place that are commensurate with the FDA Ltd assessment of the risks identified.
• Conducting, assurance testing programme on the AML/CTF controls and procedures of the Firm.
• Assist in the running of the KYC program of FDA Ltd.
• Working closely with third party service providers to implement any identified compliance, AML/CTF and financial sanctions related changes to its processes on time and effectively.
• Responsible for the complete and timely submission of suspicious transaction reports.
• Excellent spoken and written communication skills
• Ability to influence key decision-makers through a combination of knowledge, reasoning, and relationships.
• Ability to work collaboratively with different functions and multi-site operations.
• Ability to analyse, interpret, and communicate regulatory guidance to support business unit initiatives and advise leaders how to proceed from a compliance perspective.
• Bachelor degree or equivalent (business, legal, finance or securities-related field preferred)
• 10+ years experience in an asset management or securities related environment, preferably in digital assets and with a solid understanding of regulatory compliance matters.
• Knowledge of UK regulatory requirements applicable to digital asset firms.
• Deep understanding of AML/CTF/Sanctions frameworks and the implementation of policies, controls and procedures including KYC requirements

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