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Cameron James
,
London, Greater London
Head of Compliance & Legal
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Job Type: Full-time |
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Salary: £80,000 per annum |
Overview
Our Clients require a Head of Compliance (UK) to join a global compliance team of Financial Services company based in London. The successful candidate will be involved in compliance functions of the Company and will work closely with the board . Responsibilities: Liaise and report to the relevant regulatory bodies as required by the applicable regulations; Act as an adviser to the Company`s Board of Directors and Senior Management on general compliance issues; Maintain an up-to-date understanding of relevant aspects of prevailing business practices in the Company and the application of regulation to its business; Ensuring local operation/administration procedures comply with relevant regulations and that this is adequately documented; Ensuring staff are trained in local regulatory requirements and receive induction training, and that all staff required to comply with the relevant regulator`s training and competence regime do so; Advising staff on regulatory issues as and when required; Ensuring that client due diligence complaint procedures are adequate; Assess the Company`s status of compliance and report periodically to senior management and the Board of Directors keeping them informed of all relevant matters; Company`s internal policies and procedures related to compliance matters and controls relevant to the prevention of money laundering and terrorist financing and ensure the policies of the Company are always in line with local and international regulations; Monitor and assess the correct and effective implementation of the policies in relation to the prevention of money laundering and terrorist financing, Implementation of the risk management and procedures manual, apply monitoring mechanisms in order to assess the level of compliance of the departments and employees of the Company Assist with internal and external audit; Requirements: Relevant compliance experience required within Financial Services, ideally within a Retail CFD brokerage Excellent understanding of FCA Regulation, particularly COBS and CASS, and associated legislation, such as FSMA and MiFID II Previous holder of CF10 and CF11 Desirable not essential Extensive experience of dealing with regulators and other external bodies Compliance qualifications to equivalent standard Ideally had exposure within a legal environment Competitive Salary