Compliance Officer / MLRO
As Compliance Officer / MLRO of the firm, you will be responsible for (including but not limited to):
1. Regulatory oversight of the firm;
2. Continuous liaison with Executive Management;
3. Compliance staff recruitment when required.
This is a 'greenfield' opportunity and will suit a motivated, enthusiastic self-starter with the ambition and desire to help move the firm forward during the FCA application process and post FCA authorisation.
The incumbent will also be expected to take on the FCA Controlled Functions of CF10 (Compliance Oversight) and CF11 (Money Laundering Oversight).
1. Knowledge and experience of complex products (Forex / CFDs etc...);
2. The gravitas to discharge these duties at a senior level including interaction with senior management and the FCA if required;
3. Excellent Compliance / AML exposure / knowledge;
4. The ability to aid in the start building of a firm from the outset.
The firm's parent company is already authorised and regulated in a MiFID jurisdiction, therefore extensive collaboration between Executive Management and Compliance staff of the parent company is to be expected.
Further information is available upon request.