Compliance Officer – CFD Trading

A Compliance Officer with CFD Trading experience is required by a fast-growing investment platform to oversee the company’s compliance programme, mitigating any regulatory risk and promoting strong compliance culture. The role is based in London but the client is very flexible regarding working from home. YOU MUST HAVE EXPERIENCE OF CFDs TO BE CONSIDERED FOR THIS ROLE.

Your responsibilities will include:

• Reviewing the Compliance Monitoring Plan (CMP) and preparing documented reports
• Taking ownership of the CMP
• Recommending remedial actions to mitigate any regulatory risks, tracking business actions to a satisfactory conclusion within agreed timescales
• Promoting a strong compliance culture across the group
• Keeping up to date with all relevant regulatory changes; ensuring these changes are reflected in the CMP/monitoring activities
• Horizon scanning – making sure that all new regulatory developments that will impact the business operation are identified reported to the head of compliance.
• Maintenance of various registers: breaches, inducements, high risk and PEP lists, blocked account list and full client lists
• Maintenance of the financial promotions log and daily news screening
• Assisting with practical changes to accommodate new legal or regulatory requirements
• Maintaining compliance policies, procedures and other central compliance duties (e.g. breach register, PA dealing notification, etc.)
• Investigating complaints and drafting appropriate responses
• Assisting the head of compliance in preparing annual and periodic reports for the board
• Reviewing and drafting of policies and procedures

You will be have 2+ years Compliance experience and a good working knowledge of relevant FCA regulatory frameworks. Any knowledge of MiFID 2, MiFIR and AML regulations would be advantageous but is not essential. Previous working knowledge of CFDs is an absolute prerequisite for this role. Strong communication skills are also an essential requirement.


Salary:£30k -£45k


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