A fantastic opportunity has arisen for an extremely knowledgeable, diligent and commercially-minded professional with significant and demonstrable MLRO (CF10 and CF11) experience to support our internationally renowned Financial Services client based in Tower Hill as Senior Compliance Manager. The role is a permanent opportunity paying up to £80K depending on qualifications and experience. My client can negotiate a higher salary for the right person. My client is a highly successful broker offering FX trading, Contracts for Difference (CFDs) and Spread Betting to clients from around the world. The company has differentiated itself in the market with a superior customer service offering and its own in house developed platforms. The award-winning firm are now looking for a Senior Compliance Manager with a background in FS or Retail Banking to head up the compliance team of 4, ensuring that the company is fully compliant with international, EU and UK regulations (including MiFID II and ESMA guidance).With the ever-changing nature of financial rules and regulations, my client is looking for someone who is able to quickly understand and implement adjustments in policy. As part of this it will be essential to have great communication and interpersonal skills to enforce compliance diplomatically within the company. Responsibilities:- Ensuring the company is fully compliant and adheres to all international, EU and UK regulations (including MiFID II and ESMA guidance)- Managing and developing a team of 4- Completing and accurate provisioning of reporting regulatory information when required- Ensuring that the TCF policies and procedures are accurate and updated regularly- Carrying out the MLRO (CF11) function - implementation of and ongoing adherence to Financial Crime Controls- Assisting the preparation of management information as required - management of screening against the sanctions lists and other required data sources- Keep up to date and be pro-active in implementing new policies and procedures or updates to staff in a timely manner- Maintenance of the companys Compliance Handbook - Delivery of expert technical and regulatory support to the Executive teamIdeal candidate:-Experience in either managing a compliance team in a similar organisation and/or Retail Bank or providing Financial Services advice to these clients
- experience with CF10 or CF11 - Fully aware and up to date of compliance, money laundering and all other trading related processes and procedures - Communicating advanced technical Compliance information in a clear, easy to understand manner We are looking for a hands-on person who is very approachable, resourceful and truly understands the importance of the compliance function within company in the FS sector. In return, my client will offer an amazing salary and bonus structure as well as the privilege of leading, managing and developing a successful team within an excelling environment.
Tate is acting as an Employment Agency in relation to this vacancy.