Job Description
About Us:
Vantage, founded in Australia, is an award-winning, multi-asset broker with a substantial global footprint, operating offices in over 30 countries and serving clients across 172 nations. We are a trusted leader in the global trading landscape. Our platform is crafted to provide a seamless trading experience while also serving as a hub for learning and networking, equipping traders with the resources and support to navigate financial markets confidently and effectively.
At Vantage, we offer access to a diverse array of over 1,000 CFD products, including forex, indices, commodities, shares, ETFs, bonds, and cryptocurrencies. Our comprehensive suite of tools and dedicated support empowers clients to trade with confidence and succeed in the dynamic world of financial markets.
Role Overview:
We are looking for an experienced, UK-based Head of Compliance qualified to serve as the Money Laundering Reporting Officer (MLRO) under the Financial Conduct Authority (FCA) guidelines. This pivotal role will ensure our firm’s rigorous compliance with all relevant regulations, reinforcing the strength and integrity of our compliance function.
Key Responsibilities:
* Stay current on all FCA regulations and guidelines for FX/CFD brokerage operations, ensuring strict compliance.
* Serve as the primary contact for regulatory inquiries and audits, fostering positive relationships with regulatory bodies.
* Oversee and maintain the firm’s policies and procedures, ensuring they are consistently effective and up-to-date.
* Develop and implement robust compliance policies, procedures, and controls to effectively mitigate regulatory risk.
* Prepare and submit regulatory reports and filings accurately and on time.
* Collaborate closely with the global compliance function at the group level to align practices and share best approaches.
Qualifications:
* Qualified to serve as the Designated Compliance Officer (holding SMF16 Compliance Oversight and SMF17 Money Laundering Reporting Officer responsibilities) for the firm.
* Proven track record and experience in managing compliance functions within the financial services industry, ideally within a CFD brokerage.
* In-depth understanding of FCA regulations and guidelines concerning FX/CFD trading and financial services .
* Excellent communication and interpersonal skills, capable of effective engagement with both internal stakeholders and regulatory bodies.
* Strong analytical and problem-solving skills, with meticulous attention to detail.
* Relevant professional qualifications (e.g., ACAMS, ICA Diploma in Financial Crime Compliance) are highly desirable.