£140,000 - £180,000



A robust , energetic and expanding broking business. Based in London my client operates in multiple jurisdictions and opened a new office recently in the Caribbean and plans to expand their European operations.


- Designing robust policies, processes, systems & controls to ensure that ActivTrades demonstrably meets requirements arising from (et alia) the Financial Services & Markets Act, the Proceeds of Crime Act, the AML Regulations, the Bribery Act, the Criminal Finance Act, the rules of the Dubai Financial Services Authority and all related statutes, codes of conduct and guidance including the Financial Conduct Authority's and the Prudential Regulatory Authority's Handbooks and the Joint Money Laundering Steering Group ('JMLSG') guidelines

- Designing and implementing a Compliance Monitoring Plan

- Ensuring that the business provides all necessary periodic reports and notifications to the FCA and the DFSA, including Gabriel and Connect reporting

- Provide to the relevant authorities the necessary Suspicious Activity Reports / Suspicious Transaction Reports

- Produce and present to the relevant governance forums regular reporting and management information

- Oversee the investigation of and response to all customer complaints, taking responsibility for the content of the response and any subsequent interaction with the Financial Ombudsman Service;

- Maintaining an open and honest relationship with the FCA and the DFSA, ensuring they are informed in a timely way of any relevant matter and that we respond to any request for information in a timely way

- Providing ad-hoc advice on any Compliance-related matter to colleagues as
and when the need arises, including support on projects;


- A management or finance degree or other relevant qualification

- Profound and instinctive understanding of FCA and JMLSG requirements
and other relevant legislation

- Ability to explain regulatory requirements in a clear, concise, informative,
helpful and un-patronising way, and help business colleagues apply them

- Strong leadership and management skills, able to motivate, prioritise and
allocate workloads according to skills, business needs and the development
needs of the team

- A keen 'weather-eye' for new and emerging regulation, an understanding of
the political environment driving new regulation at both at a EU and UK level

- The gravitas to command respect from colleagues both senior and junior,
and at the same time be seen as a team player