Compliance & Risk (Banking & Financial Services)
Full time
My client is a leading CFD trading company, committed to providing cutting-edge trading solutions to their global client base. Their success is built on innovation and a relentless focus on compliance and customer satisfaction. They are now seeking an experienced and driven Compliance Manager to join their dynamic team.
The Role :
As a Compliance Manager, you will play a critical role in ensuring the company adheres to all regulatory obligations. You will oversee and enhance their compliance framework, with a strong focus on Anti-Money Laundering (AML) and Know Your Customer (KYC) processes, to mitigate risks and maintain their commitment to regulatory excellence.
Key Responsibilities :
Develop, implement, and maintain the company's compliance policies and procedures in line with local and international regulatory requirements. Ensure compliance with regulatory requirements surrounding FX payments and transactions, including monitoring for suspicious activity and ensuring proper documentation. Oversee AML and KYC processes, ensuring accurate and efficient client onboarding and ongoing monitoring. Conduct risk assessments and implement controls to mitigate compliance risks. Monitor regulatory developments and ensure timely adaptation to changes affecting CFD trading. Manage internal and external audits and provide relevant documentation and reports. Provide training and guidance to employees on compliance, AML, and KYC practices. Investigate and resolve compliance-related incidents, ensuring timely and effective resolution. Act as the primary point of contact for regulatory authorities and external auditors. Requirements :
Proven experience as a Compliance Manager or similar role within the financial services or CFD trading industry. Strong expertise in AML and KYC regulations, processes, and tools. In-depth knowledge of regulatory frameworks governing CFD trading. Excellent analytical and problem-solving skills with strong attention to detail. Strong communication and interpersonal skills, with the ability to influence and collaborate effectively across teams. Relevant professional certifications (e.g., CAMS, ICA, etc.) are a plus. Bachelor's degree in Finance, Law, Business Administration, or a related field. #J-18808-Ljbffr