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Providing management with the implementation and development of policies, practices and procedures to comply with FCA regulations and enhancing internal systems & controls.
Development of the relationship between the Compliance Function and both internal and external clients
Keeping abreast of the national and international regulatory environments and identification of developments that may impact the firm's control framework.
Ensuring that all operations are designed, implemented & monitored in line with FCA regulations and be aware of and keep up to date with any changes in regulatory practice through attending appropriate training, and maintaining competence in the relevant areas.
Conduct compliance monitoring reviews & overseeing risk assessments to verify the integrity of compliance systems and controls to provide assurance/feedback to the business on their ability to meet regulatory/legislative obligations.
Establishing and maintaining appropriate risk based framework systems & controls
Liaising with stakeholders to oversee regulatory reporting requirements
Implementing a strong compliance culture throughout the firm
Assisting with reports to the board of directors and any ad hoc projects as required.
Reporting any suspicious activity or transaction to the National Crime Agency (NCA) by completing and submitting a Suspicious Activity Report
Putting in place and operating anti money laundering controls and procedure (Record keeping)
Carrying out money laundering risk assessments
Training staff in preventing money laundering
Educated to degree level within a relevant subject.
10 + years Compliance experience gained within financial services, preferably within FX or P2P Lending
Strong knowledge of FCA regulations and a desire to succeed in a generalist compliance/ AML role.
Knowledge of AML/ KYC processes and requirements.
Ability to make assess operational development and to work accurately to tight deadlines
Adaptable & flexible, with an enthusiastic 'can-do' attitude.
Excellent communication skills and strong attention to detail.
Experience in a global business with multiple global offices and exposure to regulation across multiple jurisdictions including the UK, Europe and Asia
Experience in Data Protection and privacy, with a solid understanding of the forthcoming GDPR
General experience around other compliance areas such as anti-bribery and corruption
Experience of setting up and/or managing compliance programmes and controls, including use of technology
Relevant qualification in Quality Management at level 5 or above
CF10&CF11 registered with previous MLRO/Deputy MLRO experience is an advantage
Previous experience of managing internal risk control/financial crime risk (ML/KYC/CDD/Sanctions) is also an advantage.
Fundamental understanding of regulated issues that could affect FX and P2P lending