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For Companies At a Glance
- Tasks: Lead KYC/CDD processes and ensure compliance with regulations for institutional clients.
- Company: Join a dynamic company transitioning to a riskless principal model, enhancing client liquidity.
- Benefits: Enjoy competitive compensation and the chance to shape compliance strategies in a growing firm.
- Why this job: Be part of a pivotal change, impacting how we manage client relationships and compliance.
- Qualifications: Experience in compliance, regulatory frameworks, and KYC/CDD processes is essential.
- Other info: Opportunity to work with seasoned professionals and develop a robust compliance framework.
The predicted salary is between 43200 - 72000 £ per year.
Compliance Manager VP
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, we are hiring seasoned personnel
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).
VP Compliance Manager employer: Morgan McKinley
Contact Detail:
Morgan McKinley Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land VP Compliance Manager
✨Tip Number 1
Make sure to stay updated on the latest regulatory changes and frameworks, especially those related to the FCA Handbook. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the compliance field, particularly those who have experience with KYC/CDD processes and regulatory frameworks. Engaging with industry experts can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Familiarize yourself with the specific compliance challenges faced by firms transitioning from an IB model to a riskless principal model. Understanding these nuances will set you apart as a candidate who is ready to tackle the company's unique needs.
✨Tip Number 4
Prepare to discuss your experience with compliance monitoring and training during the interview. Be ready to share examples of how you've developed or implemented compliance programs in previous roles, showcasing your expertise.
We think you need these skills to ace VP Compliance Manager
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly understand the responsibilities of a VP Compliance Manager. Familiarize yourself with KYC/CDD processes, regulatory frameworks, and compliance monitoring to tailor your application effectively.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in compliance, particularly in areas like AML/CTF, regulatory reporting, and client money protection. Use specific examples to demonstrate your expertise.
Showcase Regulatory Knowledge: Demonstrate your understanding of the FCA Handbook and other relevant regulations in your application. Mention any previous roles where you provided regulatory advice or developed compliance policies.
Tailor Your Application: Customize your cover letter to reflect your passion for compliance and how your skills align with the company's transition to a riskless principal model. Make it clear why you are the right fit for this evolving role.
How to prepare for a job interview at Morgan McKinley
✨Showcase Your Regulatory Knowledge
Make sure to highlight your understanding of the FCA Handbook and other relevant regulatory frameworks. Be prepared to discuss how you've applied this knowledge in previous roles, especially in relation to KYC/CDD processes.
✨Demonstrate Compliance Expertise
Be ready to talk about your experience with various compliance matters such as AML/CTF, conduct risk, and data privacy. Provide specific examples of how you've managed these issues in past positions.
✨Discuss Policy Development Experience
Prepare to explain your role in developing and maintaining compliance policies and processes. Share any successful initiatives you've led that improved compliance monitoring or training within your team.
✨Engage with Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Practice articulating your thought process and decision-making strategies when faced with complex compliance challenges.
