We are seeking an experienced compliance professional to support the SMF16/17 in all areas of compliance
activity.
This is an exciting role in a highly dynamic environment and the successful candidate will have a broad
skillset across all the emboldened areas (but see *must have requirement) and the aptitude to grow into other listed
areas.
A can-do / take ownership / execution mindset is critical, as is a confident ability to challenge and
collaborate. The team is currently small and it will be necessary to be comfortable with the strategic as well as the
detail – and not be afraid to exercise stewardship even outside their own areas of responsibility.
Areas of Responsibility
• KYC/CDD Processes*: Handle all Know Your Customer (KYC) and Customer Due Diligence (CDD) processes
for new (primarily institutional) clients (professional/ECP – no retail).
• Regulatory Knowledge and Advice: Provide support with general regulatory knowledge and advice, including
guidance on the FCA Handbook, best practices, and regulatory frameworks like DORA.
• Policy Framework: Support with the development and maintenance of a robust framework of compliance
policies, processes, and controls.
• Compliance Monitoring: Assist with the development of an effective compliance monitoring programme.
Carry out such monitoring.
• Training: Provide or assist with compliance training for staff.
• Broad Compliance Expertise: Familiarity with and ability to address a broad range of compliance matters,
including:
Anti-Money Laundering and Counter-Terrorist Financing (AML/CTF)
Senior Managers and Certification Regime (SM&CR)
Conduct Risk and Ethical Standards (including FCA Conduct Rules)
Conflicts of Interest
Outside Business Interests
Personal Account Dealing
Procurement and Anti-Bribery and Corruption (ABC)
Data Privacy
Regulatory Reporting
Transaction Monitoring
Transaction Reporting
Client Money and Asset Protection
SARs (Suspicious Activity Reports)
Whistleblowing
Sanctions and PEPs (Politically Exposed Persons)
Market Abuse
Support the CASS function where required to ensure all processes related to client money and asset
protection adhere to the FCA’s Client Assets Sourcebook (CASS).