Compliance Officer and MLRO

Compliance Officer and MLRO London to £80,000

THE COMPANY:

Our client is a leading trading house who provide exposure to various products including Equities, F/X, derivatives and commodities to name a few.

They are currently looking to recruit a new Compliance Officer and MLRO to oversee their small team. This is a ‘hands on' role and is a great opportunity for the right person to get stuck in and drive the business forward.

RESPONSBILIES:

• Responsibility for the rolling Compliance Monitoring Programme
• Provide appropriate regulatory training, specifically in relation to AM, TCF and KYC
• Provide periodic technical updates, as required, to senior Executives and the Board
• Draft and maintain applicable internal policies and procedures
• Undertake in-depth research in to regulations in different jurisdictions
• Investigate suspected breaches of legal and regulatory requirements or internal compliance policies and standards, resolve accordingly
• Carry out an annual review of all client files as required by the regulator
• Act as MLRO, for the purpose of reports to SOCA
• Ensure that complaints by clients are promptly and fairly handled
• Approve advertising and research material from a regulatory and reputation perspective
• Assist the FSA and other regulatory bodies/exchanges with investigations

EXPERIENCE:

• Previous registration with the FSA is a pre-requisite
• Sound knowledge of the FSA rules

For further information please contact Duncan Jeffery

Compl3577

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