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For Companies At a Glance
- Tasks: Ensure compliance with UK laws, monitor trading activities, and manage anti-money laundering frameworks.
- Company: Boutique investment and trading firm with a focus on innovation.
- Benefits: Competitive salary, career growth opportunities, and a dynamic work environment.
- Why this job: Join a team that shapes financial compliance and makes a real impact in the industry.
- Qualifications: Experience in compliance within financial services and strong knowledge of regulations.
- Other info: Mid-senior level role with full-time commitment in a fast-paced sector.
The predicted salary is between 48000 - 72000 £ per year.
Overview
Our client is a boutique investment and trading firm, providing services such as Equity Markets and Retail Platforms for institutional and private clients.
Responsibilities
- Stay up to date with changes to UK compliance laws and regulations issued by the FCA and other relevant bodies
- Together with the Group Head of Compliance, maintain, update, and ensure adherence to all compliance policies and procedures across the firm
- Support the firm\’s compliance monitoring programme
- Handle regulatory approvals, appointment of UK senior managers and regulated individuals, and maintain documentation in line with the Senior Managers and Certification Regime (SMCR)
- Prepare and submit accurate regulatory reports through FCA Connect platforms in a timely manner
- Communicate with the Group Head of Compliance to harmonise best practices and promote a uniform approach on financial crime compliance advisory, training, policy and surveillance and monitoring matters across all offices
- Oversee ongoing transactional reviews to detect and mitigate potential compliance breaches
- Together with the wider surveillance team, monitor and investigate trading activity to identify potential market abuse risks and perform surveillance reviews across asset classes and escalate suspicious activity
- Advise senior stakeholders on risks, findings, and remediation strategies
- Oversee the preparation of MI, reports, and updates for senior management and committees
- Proactively audit processes, practices and documents to identify weaknesses and provide an advisory service as to how these can be improved
- Communicate with industry peers to identify latest themes and issues and best market practices
- Any other ad hoc duties that may be required from time to time
MLRO
- The successful incumbent shall also be the UK MLRO and responsible for overseeing the company’s anti-money laundering (AML) and counter-terrorist financing (CTF) framework. In collaboration with the Gibraltar MLRO, ensure compliance with relevant regulations, maintain AML policies and procedures, conduct risk assessments, and monitor transactions for suspicious activity. They shall act as the primary point of contact with regulatory authorities and law enforcement in the UK and manage the reporting of suspicious activity reports (SARs).
Experience Required
- Experienced Compliance generalist in the Financial Services sector
- Strong knowledge of CFD, spread betting, derivative products, required
- Strong working knowledge of the FCA Handbook and FINRA rules
- Good knowledge of European financial markets regulation, e.g., MiFID II/MiFIR, MAR
- Strong understanding of AML practices
- Knowledge of market dynamics, liquidity and trading practices
- Well-developed understanding of multiple assets and instruments
Contact
For further information please contact Hannah Tabatabai
Seniority level
- Mid-Senior level
Employment type
- Full-time
Job function
- Finance
Industries
- Financial Services and Securities and Commodity Exchanges
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Compliance Officer and MLRO employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer and MLRO
✨Tip Number 1
Network like a pro! Get out there and connect with industry professionals on LinkedIn or at events. We all know that sometimes it’s not just what you know, but who you know that can land you that Compliance Officer gig.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and AML practices. We recommend doing mock interviews with friends or using online platforms to get comfortable discussing your expertise in compliance and financial crime.
✨Tip Number 3
Showcase your skills! Create a portfolio or a presentation that highlights your experience with compliance monitoring and regulatory reporting. We want to see how you’ve tackled challenges in the past and how you can bring that to the table.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Compliance Officer and MLRO
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer and MLRO role. Highlight your experience in financial services, especially with compliance laws and regulations. We want to see how your skills match what we're looking for!
Showcase Relevant Experience: In your cover letter, showcase your experience with AML practices and your understanding of the FCA Handbook. We love seeing candidates who can demonstrate their knowledge of compliance monitoring and regulatory reporting.
Be Clear and Concise: When writing your application, be clear and concise. Use straightforward language to explain your qualifications and experiences. We appreciate a well-structured application that gets straight to the point!
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. We can’t wait to hear from you!
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Stuff
Make sure you brush up on the latest UK compliance laws and regulations, especially those from the FCA. Being able to discuss recent changes and how they impact the firm will show that you're proactive and knowledgeable.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully handled compliance issues or improved processes. This will help demonstrate your expertise in the financial services sector and your ability to manage risks effectively.
✨Understand the Role of MLRO
Since you'll also be acting as the UK MLRO, be ready to discuss anti-money laundering practices and how you would approach risk assessments. Familiarise yourself with the company's AML policies and be prepared to suggest improvements.
✨Engage with Stakeholders
Think about how you would communicate compliance findings to senior stakeholders. Prepare to discuss your strategies for advising them on risks and remediation, as well as how you would promote a culture of compliance across the firm.
