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Compliance Manager

Information About This Job

Job Title: Compliance Manager
Contract Type: Permanent
Location: London
Industry:
Salary: Competitive Salary
Contact Name: Ben Kinley
Contact Email: bkinley@lawsonchase.com
Job Published: 11 months ago

Job Description

We are seeking a Compliance Manager to join our client's leading forex broker specialising in forex trading, CFDs, stocks, commodities and spot metals.

The ideal candidate will join a dynamic and fast-paced working environment. The Compliance Manager will be responsible for a range of activities that ensures the business remains compliant with Financial Conduct Authority (FCA) regulation.

 

Key Responsibilities

  • Monitoring the activities of UK Branch;

  • Support the team focusing on regulatory change;

  • Be responsible for providing regulatory advice and guidance to the business, leading and delivering regulatory change projects, running compliance initiatives, meeting and supporting regulator visits (FCA);

  • Contribute to the delivery of timely and effective reporting to the Boards and regulator;

  • Keep senior management and the business informed on regulatory developments;

  • Assist with assessing the impact on the business of future regulation and implement necessary changes to policies and procedures;

  • Conducting initial analysis of new regulations in order to determine their applicability to the business and conduct a compliance impact assessment;

  • Ensuring compliance with the local requirements and regulations;

  • Responding to compliance enquiries;

  • Performing regular monitoring to ensure that standards are adhered;

  • Maintaining and reviewing policies and procedures;

  • Monitoring and reporting on employees’ adherence to client policies and procedures, including by carrying out periodic compliance audits;

  • Reviewing new regulations applicable to investment firms and identifying potential compliance risks;

  • Developing compliance training materials and performing ongoing compliance training to employees;

  • Examining, evaluating and responding promptly to client enquiries/grievances. Assessing the effectiveness of our client’s compliance program and advising on measures to reduce compliance risk.

 

Requirements

  • Bachelor's degree in Economics/Mathematics/Law;

  • In-depth knowledge of FCA regulatory requirements;

  • Good analytical skills;

  • Attention to detail and good organisation skills;

  • Strong and outgoing personality, with the ability to successfully represent themselves and the Compliance Function;

  • Excellent command of English, both verbal and written;

  • Team spirit, excellent problem-solving abilities and willingness to study and develop;

  • 2-3 years’ experience in the Financial Services Sector (preferably forex industry);

  • Diploma in Investment Compliance should be considered as an advantage.

 

Benefits

  • The successful candidate will receive a competitive remuneration package.

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