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B&FS Finance

Chief Compliance Officer & MLRO

Investigo are partnering with a growing FinTech Trading Platform to recruit a Chief Compliance Officer and MLRO.

Your role will be to undertake the roles of SMF16, SMF17 and hold the prescribed responsibility for CASS under SMCR (PR Z) too.

Key duties:

To fulfil the role of Compliance oversight, MLRO and CASS officer.

Develop MI in order to provide compliance assurance and risk reporting, utilise data in such a way to identify trends and issues.

Compliance monitoring, regular testing of policies and procedures making sure that controls are effective and in line with regulatory expectations.

Implement new compliance policies and procedures.

Be the go to point of contact for any FCA or regulatory matters within the business.

Have the prescribed responsibility for CASS (PR Z) taking ownership of the CASS operating model, CASS reporting, policy and procedure and resolution pack.

Individual experience required:

Excellent regulatory knowledge.

Experience of working in a retail investments environment.

Good understanding of CASS and the controls required in a CASS environment.

Ideally have held SMF16, SMF17, CF10, CF11 or CF10a previously.

Our client is open to immediately available candidates on a temporary to permanent basis, as well as permanent candidates.

This role will be flexible working between the Canary Wharf based office and home.

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