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Compliance Manager

Employer
Lipson Lloyd-Jones
Location
England, London
Salary
£Market
Closing date
20 Feb 2025
Reference
74590
View more categoriesView less categories
Vacancy Type
Solicitors, In-House
Experience Level
Mid Level
Contract
Permanent
Hours
Full Time
Practice Areas
Regulatory/Compliance (except Banking/Finance)
PQE
1-3 Years

Job Details


THE COMPANY

Our client is a longstanding FCA regulated business serving an institutional client base for CFD trading in a broad variety of underlying financial instruments.

The Company is now evolving its business from an IB (introducing broker) model to a riskless principal model with permission to hold client money.

The company will source and manage liquidity streams from multiple providers and directly provide to its clients competitive pricing and reliable liquidity as principal, accessing interbank rates through engagement with prime brokers.

To achieve this change, they are looking to hire a number of experience personnel to put in place the necessary operational, risk and control environments.

THE ROLE

An experienced compliance professional to support the SMF16/17 in all areas of compliance activity.

This is an exciting role in a highly dynamic environment and the successful candidate will have a broad skillset across all the emboldened areas (but see *must have requirement) and the aptitude to grow into other listed areas.

A can-do / take ownership / execution mindset is critical, as is a confident ability to challenge and collaborate.

The team is currently small, and it will be necessary to be comfortable with the strategic as well as the detail - and not be afraid to exercise stewardship even outside your own areas of responsibility.

ABOUT YOU

Your experience should provide the ability to cover the following areas of responsibility:

  • KYC/CDD Processes*: Handle all Know Your Customer (KYC) and Customer Due Diligence (CDD) processes for new (primarily institutional) clients (professional/ECP - no retail).
  • Regulatory Knowledge and Advice: Provide support with general regulatory knowledge and advice, including guidance on the FCA Handbook, best practices, and regulatory frameworks like DORA.
  • Policy Framework: Support with the development and maintenance of a robust framework of compliance policies, processes, and controls.
  • Compliance Monitoring: Assist with the development of an effective compliance monitoring programme. Carry out such monitoring.
  • Training: Provide or assist with compliance training for staff.
  • Broad Compliance Expertise: Familiarity with and ability to address a broad range of compliance matters, including:
  • Anti-Money Laundering and Counter-Terrorist Financing (AML/CTF)
  • Senior Managers and Certification Regime (SM&CR)
  • Conduct Risk and Ethical Standards (including FCA Conduct Rules)
  • Conflicts of Interest
  • Outside Business Interests
  • Personal Account Dealing
  • Procurement and Anti-Bribery and Corruption (ABC)
  • Data Privacy
  • Regulatory Reporting
  • Transaction Monitoring
  • Transaction Reporting
  • Client Money and Asset Protection
  • SARs (Suspicious Activity Reports)
  • Whistleblowing
  • Sanctions and PEPs (Politically Exposed Persons)
  • Market Abuse
  • Support the CASS function where required to ensure all processes related to client money and asset protection adhere to the FCA's Client Assets Sourcebook (CASS).

*Must have

Lipson Lloyd Jones Ltd is acting as an Employment Agency in relation to this vacancy.

Company

Lipson Lloyd-Jones was established in 1987 and provides a comprehensive coverage of the legal marketplace encompassing private practice and in-house vacancies throughout the UK and overseas.

Private Practice: We are instructed by major practices as well as the full spectrum of small, medium sized, niche and boutique firms, handling vacancies in every legal discipline at every level.

In House: Our in-house client base is vast and includes major and minor players in the financial, industrial, manufacturing, construction & engineering, commercial, media, technology, telecoms, transportation, fintech and regulatory sectors as well as start-ups.

Professional Support/Knowledge: We have considerable expertise and an impressive track record in this specialist recruitment area.

An Individual Service: Our Consultants have a vast wealth of knowledge about this most intricate and specialised marketplace, which is indispensable to every candidate seeking the right career advice, and to every employer seeking the best candidate for each vacancy.
We are well known in the market for our professional, friendly, and enthusiastic approach.
 

Company info
Website
Telephone
020 7600 1690
Location
107 Cheapside
London
EC2V 6DN
United Kingdom

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