Senior Compliance Officer/ Head of Compliance
A Firm in our community has a Matched Principle license and is reactivating their operations after a recent Change in Control (CiC).
They are seeking a compliance officer that can take up both the SMF16 (General Compliance) and SMF17 (AML) role. The role is to take over the compliance department and drive the business forward including reviewing of process and procedure.
Currently the firm has permissions to deal with Spot FX, once the Compliance individual has been appointed, they want to apply for Variation of Permissions to include CFDs (Indices, Commodities, Equities, etc).
The Role is to take over the compliance department and drive the business forward including reviewing of process and procedure and to champion the VoP application for CFDs and communication with the FCA.
A suitable specialist will have understanding of UK compliance rules, specifically for General Compliance and AML, as well as FCA applications for Variation of Permissions. They will demonstrate business-facing, regulator-facing as well as deep compliance process skills. They will have hands on experience of CIC and VoP applications with FCA.
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