Compliance Manager - SMF16 & SMF17

The Role

Ensure the company complies with regulatory requirements placed upon it by all of the appropriate authorities/acts, through the effective provision of policy guidelines, monitoring programmes, compliance reviews and associated management reporting.
Perform the SMF16 role for Compliance oversight.
You will be responsible for SMF17, as the companys Money Laundering Reporting Officer (MLRO) by overseeing the companys anti-money laundering activities, policies and procedures.
Oversee and assist with the operational effectiveness of the companys systems and controls that are designed to achieve compliance with CASS, working with the Compliance Administrators to ensure all controls are in place to meet regulatory requirements.
Responsible for assessing, addressing and minimising operational risk, providing guidance and expertise to key stakeholders, carrying out internal audits and liaising with external resources to seek advice, when required, to ensure compliance.
Provide MI reports for the Directors on Risk & Compliance issues for the quarterly Board Meetings.
Manage the team of compliance professionals.

The Requirements

Educated to Degree level in any discipline and appropriate industry qualifications.
Stock broking sector experience/knowledge or financial services.
Comprehensive understanding of FCA and other appropriate regulations governing the conduct of retail stock broking, supported by several years of practical industry experience.
Comprehensive knowledge and understanding of compliance and regulatory requirements at the senior level.

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