Head of Compliance & MLRO
- Employer
- JCW Search
- Location
- London, United Kingdom
- Salary
- Competitive
- Closing date
- Aug 17, 2019
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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Ensure the business maintains an environment which meets all applicable regulatory requirements and expectations, and to carry out the Compliance Oversight Function (CF10) and the MLR Function (CF11) by:
On the person specification,
Beneficial
- Ensure maintenance of the compliance environment which meets all regulatory requirements and expectations incl. review, development/ enhancements of the compliance manual and documents.
- Work closely with all areas of the business to promote appropriate discipline, control and compliance implementation of anti-money laundering policies, procedures and training.
- Assisting with reviewing and implementing FCA regulations (the role assists with the communication between a number of service providers, including the firm's external auditors, IT providers and compliance consultants).
- Assist in organising the training of personnel to ensure awareness of and understanding by all personnel of their responsibilities in relation to compliance.
- Preparing and maintaining the ICAAP document and ensure the firm's adhere to capital requirement at all time.
- Be a member of the governing body and risk committee and attend regular committee meetings
On the person specification,
- Minimum 5 years' CF10/11 experience in UK regulated hedge fund or major bank
- Attitude that is able and willing to challenge
- Product knowledge: FX, Fixed Income, Rates and Equities
- 2:1 Graduate degree level education or higher from leading university
- IMC / CFA or equivalent qualifications
- Highly motivated and organised individual with attention to detail
- Ability to work alone and under pressure with strong communication skills
- Strong Desktop IT skills
Beneficial
- Positive attitude to support business needs / commercial awareness
- Experience using technology to effectively monitor compliance with areas such as market abuse, conflicts and money laundering regulations
- Experience with overseas regulators e.g. SEC,CTFC,FINMA
- Legal or Financial Qualification
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