Leading fintech company with deep expertise in trading, markets and block-chain, requires a Head of Compliance. The company is FCA approved and is committed to building the world’s best trading experience from their global offices including London.
You will be expected to
- Liaise and report to the relevant regulatory bodies as required by the applicable regulations.
- Maintain an up-to-date understanding of relevant aspects of prevailing business practices in the Company and the application of regulation to its business.
- Design and review the Company’s internal policies and procedures related to compliance matters and controls relevant to the prevention of money laundering and terrorist financing and ensure the policies of the Company are always in line with local and international regulations.
- Relevant compliance experience required within Financial Services, ideally within a Retail CFD brokerage
- Extensive experience of dealing with regulators and other external bodies
- Previous holder of CF10 and CF11 and/or SMF 16 and SMF 17 desirable
- Excellent understanding of FCA Regulation, particularly COBS and CASS, and associated legislation, such as FSMA and MiFID II