Salary / Package:
- Up to £45k, depending on experience
- Based at Head Office - Northwood Hills, Middlesex
- Private health insurance
- Generous holiday entitlement
We are a leading online provider of spread betting, CFD and Forex trading on the world's financial markets, including shares, indices, currencies and commodities. We are based in North London and are authorised and regulated by the Financial Conduct Authority (FCA) in the UK.
An opportunity has arisen for an experienced compliance practitioner at a leading spread betting and CFD trading company. The successful candidate will be required to provide support to ensure continued compliance with FCA standards and internal rules. This is a specific, skill focused role which requires notable compliance experience in the context of Financial Services. The successful candidate will work closely with various stakeholders of the company and report directly to the CEO.
Key Responsibilities
- To support the Company's SMF16 in delivering a suitable compliance strategy and framework for the business
- Coordinate with other departments to direct compliance issues
- Take responsibility for managing complaints handling process (internal and external, including complaints escalated to the FOS)
- Act as point of contact with the FCA and oversee reporting of returns to the FCA, including but not limited to; financial, complaints, transaction reports, SMCR reports
- Ensure that procedures for the acceptance of new clients are applied
- Maintain a detailed and robust compliance training and monitoring programme
- Monitoring for market abuse
- Proactively lead on defining and managing the completion of compliance related projects
- Providing practical strategy and guidance to other department heads in order to assist in achieving commercial objectives within the boundaries or regulatory and legal requirements
- Manage internal policies and proactively draft/re-draft policies in light of changing marketplace factors
The successful candidate will
- Ideally be a graduate
- Education: Graduate Degree (with a legal background will be preferred)
- Be familiar with the current regulatory environment
- Be capable of working with people at all levels and be able to operate independently as well as being a strong team player
- Have the ability to work under pressure and multi-task
- Have the ability to analyse and interpret data and present the findings clearly
- Have the ability to advise on the relevant regulatory framework and retain a sense of commercial reality
- Have excellent organisation and time management skills
The role presents a great opportunity for an established compliance professional with drive, determination, a proactive approach and excellent problem-solving skills. The environment is fast-paced and the opportunity is rewarding, offering the prospect of taking your career to the next level.
Key Relationships
- CEO/SMF17
- Head of Client Services
- Head of Marketing
- Developers
- Sales Team