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Head of Compliance

My client is currently looking for a Head of Compliance & MLRO ideally with experience of Forex and CFD markets, to act as CF10 & CF11, and potentially CF10a, to ensure that the firm conducts business at all times in compliance with FCA rules and internal requirements.

Day to day management of the Compliance team;

Ownership of the Compliance Monitoring Program and assessing the firm’s compliance with external regulation, rules, objectives, outcomes and guidance as well as internal policies and processes; Oversight of the firm’s transaction and trade monitoring programme, and any resulting investigations of suspicious transactions/orders including the submission of reports to relevant authorities (FCA, NCA, etc.);

Acting as the primary contact for the FCA and other relevant authorities (i.e. NCA, ICO, etc.);

Oversight of the approval of financial promotions;

Advising the business and senior management on compliance related matters including, but not limited to, new business opportunities, new products, the impact of new or changes to legislation, guidance, standards etc.;

Reviewing and updating internal policies and procedures, including the Compliance Manual;

Oversight and development of the firm’s training program and ensuring all staff are provided with training on their roles and responsibilities under financial services regulation;

Conducting and overseeing the firm’s internal risk assessment processes.

Qualifications & Competencies

Minimum 5 years of experience within compliance in the retail financial services industry;

Comprehensive knowledge of the compliance requirements on firms within the CFD and/or Spread Betting sector;

Previous registration under the FCA as CF10/CF11;

Solid Experience of operating at a senior level with exposure at Executive and Board level;

Good knowledge and demonstrable experience in practical application of FCA rules;

Experience of team management;

Excellent interpersonal and communication skills

Ability to effectively balance compliance and business operations

For more information please contact Martin Joyce on 0203 892 8533 or email

Salary: £100000 - £120000 per | Job Type: Permanent | Posted: 26/02/2018