1. Monitor and oversee complete FCA process. 2. Carry out and be responsible for the compliance function for the UK office as CF10/CF11. 3. Review and where appropriate, re-write/amend compliance procedures in order to comply with the FCA. 4. Build and maintain the compliance department, including people, processes and technology. 5. Assist with compliance and related duties over other international jurisdictions if necessary (please note: will not be held responsible for jurisdictions outside of the UK/FCA). 6. Regular monitoring & reporting of sales activities. 7. Maintain reporting lines directly to CEO and MD. 8. Develop and administer compliance related staff training programs (in combination with Thompson Reuter's courses) for all compliance areas. Lead staff communication and training on compliance at all levels of our business. 9. Ensure all FCA related employees are up to date with FCA requirements and regulations, including any changes legislation. 10. Be open to conducting related research on international projects i.e. South Africa project/New York project. 11. Open to travelling to our international offices where necessary. 12. Required to oversee any partnerships / agreements with third parties 13. Draft necessary contracts i.e. IB Agreements, Introducer Appointer Representative. 14. Deal with the Financial Ombudsman or the FCA visit if the need arose 15. Participate in the company performance review process and take responsibility for identifying your own professional and career development needs. 16. Maintain a good working knowledge of key existing & evolving regulation applicable to the company, including (amongst others) UK FCA rules and regulations, Advertising Standards, Data Protection and Privacy, and other regulations across their key markets; 17. Conduct regular reviews of our compliance activities across the business as well as develop and maintain a network of advisors and subscriptions to keep up to date on changing regulation. 18. Conduct risk assessments, including privacy impact assessments; 19. Handle communications with regulators and other government bodies (e.g. FCA) 20. Any other Ad-hoc activities not listed above, that may occur on an as and when basis.
Registered under the FCA as CF10/CF11.
Experience as Head of Compliance / Senior Compliance Officer (or a role with a similar jurisdiction).
Experience within the Financial Conduct Authority.
Ability to network well within an organisation to resource efficiently.
Excellent knowledge of the regulatory process and require
Internal Number: 5598918
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