Salary & Benefit
Our client is a leading online FX and CFD broker who currently employs over 200 professionals globally, serving retail and institutional clients in more than 170 countries from its offices in Cyprus, the United Kingdom and Bahamas.
· Act as SMF 16 (Compliance oversight function) and SMF 17 (Money laundering reporting function) of FxPro UK Limited and be accountable to the Financial Conduct Authority (FCA) for the above functions.
· Be the dedicated point of contact with the FCA and other regulatory authorities.
· Act as an adviser to the firm’s Board of Directors in relation to current and forthcoming rules and regulations.
· Appropriately monitor the clients’ on-boarding and ongoing business relationships as well as the respective processes and procedures and ensure that the relevant employees are fully informed and trained on KYC and AML requirements.
· Review and recommend changes, as required from time to time, to the firm’s current internal practices, policies, procedures and controls to ensure compliance with (among others) the FCA’s principles.
· Respond to both internal and external compliance enquiries (including client complaints) following a proper investigation and oversee the resolution of such enquiries.
· Review and approve financial promotions (where necessary) and provide training and guidance to the Marketing Department’s employees on promotions, client communications etc.
· Responsible for the prompt submission of any ongoing and ad-hoc FCA returns/ filings and other notifications to regulatory authorities.
· Implement a training and competence programme for the firm’s employees, focusing on compliance and anti-money laundering (including financial crime).
· Investigate promptly any suspicious activities (including money laundering/financing of terrorism instances) and ensure that these are reported accordingly.
· Oversee and/or collaborate with the relevant business units on compliance and anti-money laundering in regard to the firm’s operations.
· University degree in a related field
· At least 5 years of compliance experience, ideally within the financial services sector.
· Knowledge of the applicable Regulatory Compliance framework is a must.
· Knowledge and ability to interpret and apply (among others) the provisions of the FCA Handbook and Joint Money Laundering Steering Group.
Location: London, UK
VISA: Candidates must be Eligible to work in the UK
· Medical and Life Insurance
· Pension Scheme
· 25 days of holidays
· Annual Season Ticket
· Gym Reimbursement Membership