Deputy Compliance Officer

UK, London

Role & Department

we are looking for Deputy to the Compliance Director and MLRO (SMF16/17)

What you'll be doing

  • Monitoring and interpreting regulatory developments and advising on business impact and necessary process changes;
  • Deputising to the MLRO with all relevant matters including liaison with the regulators and the NCA;
  • Researching regulations and legislations; acting as advisory support to the Compliance Director and the firm;
  • Preparation and review of documentation for high risk clients, escalating to the MLRO as required;
  • Assisting with review and investigation of internal SARs and STORs;
  • Assisting with and analysing ongoing Compliance Monitoring Program obligations, such as Best Execution, TCF, Onboarding reviews and Complaints handling
  • Assisting with any regulatory matters, including data protection (GDPR), privacy, AML/CDD, MAR, MiFID II, SMCR, PRIIPs;
  • Assisting with the design and implementation of the compliance monitoring programmes as well as completion and review thereof;
  • Development and management of accurate data analyses to enable the Compliance Director to report to the Executive Committee and Board on key risks, issues and actions taken;
  • Development and the on-going maintenance of policies and procedures to ensure the firm remains compliant with regulations;
  • Assisting with complaints handling for all complaints made against the Firm, its members and/or its staff;
  • Reviewing marketing materials, presentations and websites to ensure compliance with regulatory requirements;
  • Keeping up to date with-, and understanding, relevant laws and regulations, ensuring ongoing compliance with laws, regulations and internal policies.

What you'll bring

·       At least 5 years’ practical experience in a Senior Compliance and Financial Crime prevention role in an FCA regulated firm;

·       Previous CF/SMF experience or direct support thereto;

·       Excellent technical compliance skills in the areas of COBS,MAR, MIFID II, DISP, CASS, SYSC and PERG.

·       Significant knowledge of FCA industry standards and regulations;

·       Demonstrable knowledge of AML legislation and a working knowledge of the JMLSG guidance for brokerage products;

·       Significant knowledge of anti-financial crime related matters – ABC, Fraud, MAR, Sanctions, AML/CTF, etc

·       Strong knowledge of financial crime typologies, risk indicators pertaining to them and solutions to mitigate the risk;

·       Proven track record of experience providing expertise and management of compliance issues in an FCA regulated firm;

·       Excellent drafting skills;

·       Demonstrable experience of problem solving and root cause analysis and identification skills;

·       Experience of working in a rapid growth, scaling environment

·       Must be able to perform independently and with minimal supervision

Who we are

Finalto Financial Services is a FCA regulated investment firm with offices around the world. The company provides multi-asset execution, prime brokerage, and trading technology solutions for institutional and retail clients. It is one of the most respected and reputable investment venues for Tier 1 liquidity in the world, having been voted “Best Liquidity Provider” for four years running at the Finance Magnates industry awards. The firm is owned by Playtech Plc.

If you feel the above describes you
perfectly- Apply now!

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