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For Companies At a Glance
- Tasks: Join us as a Compliance Manager, overseeing KYC/CDD processes and compliance monitoring.
- Company: We're a trusted FCA regulated firm specializing in CFD trading for institutional clients.
- Benefits: Enjoy a dynamic work environment with opportunities for growth and collaboration.
- Why this job: Be part of an evolving company where your expertise shapes compliance strategies and impacts the industry.
- Qualifications: Experience in compliance, regulatory knowledge, and a proactive mindset are essential.
- Other info: This role offers a chance to work closely with senior management in a small, agile team.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY
Our client is a longstanding FCA regulated business serving an institutional client base for CFD trading in a broad variety of underlying financial instruments.
The Company is now evolving its business from an IB (introducing broker) model to a riskless principal model with permission to hold client money.
The company will source and manage liquidity streams from multiple providers and directly provide to its clients competitive pricing and reliable liquidity as principal, accessing interbank rates through engagement with prime brokers.
To achieve this change, they are looking to hire a number of experience personnel to put in place the necessary operational, risk and control environments.
THE ROLE
An experienced compliance professional to support the SMF16/17 in all areas of compliance activity.
This is an exciting role in a highly dynamic environment and the successful candidate will have a broad skillset across all the emboldened areas (but see *must have requirement) and the aptitude to grow into other listed areas.
A can-do / take ownership / execution mindset is critical, as is a confident ability to challenge and collaborate.
The team is currently small, and it will be necessary to be comfortable with the strategic as well as the detail – and not be afraid to exercise stewardship even outside your own areas of responsibility.
ABOUT YOU
Your experience should provide the ability to cover the following areas of responsibility:
- KYC/CDD Processes*: Handle all Know Your Customer (KYC) and Customer Due Diligence (CDD) processes for new (primarily institutional) clients (professional/ECP – no retail).
- Regulatory Knowledge and Advice: Provide support with general regulatory knowledge and advice, including guidance on the FCA Handbook, best practices, and regulatory frameworks like DORA.
- Policy Framework: Support with the development and maintenance of a robust framework of compliance policies, processes, and controls.
- Compliance Monitoring: Assist with the development of an effective compliance monitoring programme. Carry out such monitoring.
- Training: Provide or assist with compliance training for staff.
- Broad Compliance Expertise: Familiarity with and ability to address a broad range of compliance matters, including:
- Anti-Money Laundering and Counter-Terrorist Financing (AML/CTF)
- Senior Managers and Certification Regime (SM&CR)
- Conduct Risk and Ethical Standards (including FCA Conduct Rules)
- Conflicts of Interest
- Outside Business Interests
- Personal Account Dealing
- Procurement and Anti-Bribery and Corruption (ABC)
- Data Privacy
- Regulatory Reporting
- Transaction Monitoring
- Transaction Reporting
- Client Money and Asset Protection
- SARs (Suspicious Activity Reports)
- Whistleblowing
- Sanctions and PEPs (Politically Exposed Persons)
- Market Abuse
- Support the CASS function where required to ensure all processes related to client money and asset protection adhere to the FCA's Client Assets Sourcebook (CASS).
*Must have
Lipson Lloyd Jones Ltd is acting as an Employment Agency in relation to this vacancy.
Compliance Manager employer: Lipson Lloyd-Jones
Contact Detail:
Lipson Lloyd-Jones Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarize yourself with the FCA Handbook and the specific regulations that apply to KYC/CDD processes. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in the CFD trading sector. Engaging with industry peers can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Showcase your ability to handle both strategic and detailed tasks by preparing examples from your past experiences. Highlight situations where you successfully managed compliance challenges while maintaining a big-picture perspective.
✨Tip Number 4
Demonstrate your proactive approach by discussing any initiatives you've taken in previous roles to improve compliance processes or training programs. This will illustrate your ownership mindset and readiness to contribute to the team.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Compliance Manager position. Highlight the key responsibilities and required skills, such as KYC/CDD processes and regulatory knowledge, to tailor your application accordingly.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in compliance, particularly in areas like AML/CTF, regulatory reporting, and compliance monitoring. Use specific examples that demonstrate your ability to handle the responsibilities outlined in the job description.
Showcase Your Mindset: The company values a can-do attitude and ownership mindset. In your application, provide examples of how you've taken initiative in previous roles and how you approach challenges with confidence and collaboration.
Tailor Your Documents: Customize your CV and cover letter to reflect the language and requirements mentioned in the job description. Use keywords related to compliance, regulatory frameworks, and client money protection to ensure your application stands out.
How to prepare for a job interview at Lipson Lloyd-Jones
✨Show Your Regulatory Knowledge
Be prepared to discuss your understanding of the FCA Handbook and relevant regulatory frameworks like DORA. Highlight specific examples from your past experience where you successfully navigated compliance challenges.
✨Demonstrate a Can-Do Mindset
The company values a proactive approach. Share instances where you took ownership of a project or challenge, showcasing your ability to execute and collaborate effectively within a team.
✨Familiarize Yourself with KYC/CDD Processes
Since handling KYC and CDD processes is crucial for this role, be ready to explain your experience in these areas. Discuss how you've implemented or improved these processes in previous positions.
✨Prepare for Compliance Monitoring Discussions
Understand the importance of compliance monitoring and be ready to talk about any programs you've developed or participated in. Emphasize your ability to assess compliance risks and implement effective controls.
