Senior Compliance Manger

Chadwick Nott
London, England
£130000 - £180000 per annum
12 Mar 2018
09 Apr 2018
Brian Littleton
Sector/Practice Area
Banking/Finance, Regulatory/Compliance
Vacancy Type
Full time

Reporting to the CEO at this rapidly expanding company that operates extensively in the FOREX and CFD and spread betting space, you will ensure that the company is fully compliant and adheres to each and every compliance activity accordingly. Key duties will include:

  • Responsible for the complete and accurate provision of reporting regulatory information required both on an internal and external basis
  • Ensure monitoring to assess the companies compliance with FCA regulatory requirements, specifically organise and assist with the Compliance Monitoring Programme
  • Responsible for ensuring that the TCF policies and procedures are accurate and updated regularly
  • Carry out the MLRO (CF11) function, ensuring the implementation of and ongoing adherence to Financial Crime Controls including procedural reviews, transaction monitoring and monitoring the tasks delegated to 3rd party administrators
  • Assisting the preparation of management information as required
  • Responsible for the management of screening against the sanctions lists and other required data sources
  • Effectively deal with any complaints raised by any client, report and manage accordingly. Ensure that complaints register updated accordingly
  • Work with financial controller to ensure that all reports requiring submission to the FCA are done so in a timely and accurate manner
  • Organise training for staff, ensuring that they are FCA registered
  • Give consideration to the wider professional development and career aspirations of all Compliance team members
  • Keep up to date and be pro-active in implementing new policies and procedures or updates to staff in a timely manner, providing training where necessary
  • Ensure compliance reporting to NCA is done as required and is correct, accurate, investigated and closed in a timely manner
  • Ensure that all compliance activity is accurately recorded
  • Continuously reviewing and maintaining systems to identify and record regulatory breaches
  • Maintain as far as practically possible a close working relationship with relevant regulatory bodies
  • Assist in the management of the Compliance Team across all company locations
  • Responsible for the maintenance of the company's Compliance Handbook
  • Delivery of expert technical and regulatory support to the Executive team as needed to enable them to make future facing decisions and achieve strategic goals within the relevant regulatory framework

Currently working within the Financial Services sector, you will have significant and demonstrable MLRO experience and be keen to make your mark on an organisation as the most senior compliance employee.

For additional information on this role, please contact Brian Littleton at Chadwick Nott on 0203-096-4549 or 07919-293351 or at

Chadwick Nott Ltd is acting as an Employment Agency in relation to this vacancy.

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