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Head of Governance (Audit, Risk and Compliance) at Morgan McKinley
Compliance Manager VP
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, we are hiring seasoned personnel.
Areas of Responsibility
1. KYC/CDD Processes: Handle all Know Your Customer (KYC) and Customer Due Diligence (CDD) processes for new (primarily institutional) clients (professional/ECP – no retail).
2. 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.
3. Policy Framework: Support with the development and maintenance of a robust framework of compliance policies, processes, and controls.
4. Compliance Monitoring: Assist with the development of an effective compliance monitoring programme. Carry out such monitoring.
5. Training: Provide or assist with compliance training for staff.
6. 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
1. 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).
Seniority level
Director
Employment type
Full-time
Job function
Other
Industries
Investment Banking
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