Compliance Officer & MLRO
My Client is a boutique FX and CFD provider to retail, professional and institutional investors looking to trade in international and domestic financial markets. They have vast experience in the CFD sector and use the latest technologies to provide the best services to our global clients. They are now looking for a permanent Compliance Officer and MLRO to add to the senior team
To have full and ongoing day-to-day responsibility for the operations, planning and outputs of the Compliance and MLRO functions, including but not limited to the following duties and skill-sets:
* Keeping themselves and senior-management suitably up to date with regulatory changes and leading implementation and agreed priorities across the business. Through updating Policy and constant monitoring
* Periodically briefing the board/senior-management on relevant regulatory developments and issues including the company's active risk status with applicable regulations that directly or indirectly affecting its business and organisation.
* Submitting all necessary periodic regulatory returns providing timely submission and recordkeeping
* Developing and maintaining compliance policies & procedures, including data privacy
* Act as the company's nominated person concerning managing external communications and reports to the FCA.
Charles Levick Limited are a leading global financial recruiter providing innovative solutions across Capital Markets, Financial and Professional Services organisations. Founded in 2008, Charles Levick is privately owned and operates from offices based within the City of London and New York.
A truly independent company with a global reach, we pride ourselves on delivering honest and intelligent guidance developing long term sustainable relationships. Our breadth of expertise and services allow us to deliver solutions across our sectors ranging from junior analyst through to C-Suite requisitions, all delivered with exceptional levels of attention to detail and service that have helped us to grow into the organisation we are today.
We have managed to build an enviable reputation partnering a diverse range of large and small organisations initially within London, but now globally, actively supporting clients across Europe, Asia and the US. With decades of experience, we have been able to develop a substantial knowledge of our markets as well as building loyal relationships with our clients and candidates.
Our business is devised of 5 core areas of specialisation: