Role details

Compliance Manager- FX Retail

London   •  Permanent

Bullet points

  • An exciting opportunity for a compliance manager to join an establised FX firm
  • Looking to start up in London, FX retail experience required

About Our Client

Compliance Manager- FX Retail role sits within Financial Services. The company is an established OTC FX retail firm, also offering asset management advisory services.

Established already in Asia and the US, the company is now looking to establish itself in London.

Job Description

This Compliance Manager- FX Retail role seeks and experienced compliance manager/ head of complian, it involves:

-Playing a key part in gaining the company's FCA authorisation

-Setting up and implementing compliance programmes/ procedures

  • The Compliance Manager shall undertake all reviews and risk-assessment of all company documentation and correspondence of group subsidiaries, directors, and beneficial owners.
  • Preparing a compliance and client-take on manual and educating staff members as to the due diligence required by the Regulatory Authorities (FCA).

  • Accurate and timely filling of all due diligence documents and related correspondence for clients and its affiliated companies

  • Manage all compliance functions and ensure the adherence of internal control in order to meet relevant legal and regulatory requirements.
  • Handle regulatory inquiries

  • All other tasks that may be requested by the CEOs

The Successful Applicant

-An experienced compliance manager

-Has previously acted as the key point of contact for the FCA

-Familiar with regulations around the UK's OTC FX Retail market

-FX retail experience

-AML & KYC knowledge

-Previous work on policies and procedures

-Created and implemented monitoring programmes

What's on Offer

Competitive, please enquire

Apply for this job

Click the Apply or LinkedIn button below or contact Heather Ninnes on +44 20 7776 5936 quoting job reference 13748564
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