Job Description

THE COMPANY:
Our client is a boutique investment and trading firm, providing services such as Equity Markets and Retail Platforms for institutional and private clients.
THE RESPONSIBILITIES:
MLRO:

• Acting as the primary contact with law enforcement agencies (e.g., NCA, FCA) for disclosures, including SARs, and leading internal investigations into suspicious activity.
• Maintain AML/CTF policies, controls, and procedures proportionate to our business model and risk appetite
• Prepare and submit regular AML reports to the Board and regulators
• Oversee the implementation and enhancement of the AML/CTF framework
• Conduct AML risk assessments and ensuring controls align with policies and risk appetite
• Monitor and report on the effectiveness of AML systems and controls
• Oversee client onboarding, ongoing due diligence, transaction monitoring, and PEP and sanction screening
• Promote a culture of AML awareness and collaborate closely with first and second line teams across the business

Compliance Officer:

• 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

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

For further information please contact Hannah Tabatabai
About this role
Location:
London
Specialism:
,
Salary:
Competitive
Type:
Reference:
19380

Skills Required