Delighted to be a partnered with a well established investment management firm with with over 30 years of experience offering a wide range of stockbroking and administration services and solutions.
Since launching one of their product lines in 2005, they have established strong outsourcing relationships with many leading IFA's, stockbrokers, asset managers, investment companies and banks.
What will I be doing?
- Reporting directly to the CEO, you will be performing in SMF16 Compliance oversight capacity overseeing the operational effectiveness of the company's systems and controls that are designed to achieve compliance with CASS
- With responsibility for SMF17, as the company's Money Laundering Reporting Officer (MLRO), oversee the company's anti-money laundering activities, policies and procedures
- You will support, guide and advise the Board, Managers and staff to support and facilitate a strong compliance framework and culture
What do I need?
- Must have several years experience in a previous Managerial or Senior Risk / Compliance role.
- Comprehensive understanding of FCA and other appropriate regulations governing the conduct of retail stock broking, supported by several years of practical industry experience.
What will I get?
- Opportunity to work for a firm going through a high growth phase as they look to bolster the way they approach compliance
- Hybrid working model with flexible working offered
- Chance to work in collaboration with the CEO and have an active voice in the firms operational direction
If you are currently in a senior compliance/risk position and looking to take a step up into a head of function, or alternatively if you're already in this capacity and looking for a fresh, interesting opportunity, then please direct message Cameron Spencer who leads Selby Jennings compliance function or apply today for immediate consideration.
