Compliance Consultant
- Employer
- Lighton Management Solutions LTD
- Location
- London
- Salary
- Depending on experience
- Closing date
- 29 Jul 2022
View more
- Employer Sector
- Accountancy Practice
- Contract Type
- Permanent
- Hours
- Full Time
- Travel
- None
- Job Type
- Compliance
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We are looking for a senior compliance consultant. We are a matched principal broker regulated by the FCA. We deal in a wide range of financial products (OTC/ CFD) to our global real-economy clients with a focus on Oil and refined products.
Key responsibilities:
- Assist in formulating control procedures and compliance programs to cope with ongoing changes in laws, regulations and business needs regarding the regulated activities
- Conduct all necessary regular reviews and surveillance on Compliance and AML/CFT controls framework, including but not limited to client acceptance, periodic review process, transaction monitoring, payment and maintenance of register, business activities/processes, enterprise-wide risk assessment, high risk transactions reviews, etc.
- Proactively anticipate and research on new regulatory requirements, including consultation papers, propose and follow through with implications on the business and implementation actions;
- Identify and rectify control weakness through ongoing review/monitoring of the AML/CFT/ABC control framework from group and local regulatory requirement perspective
- Assist in the preparation and submission of compliance/regulatory reports for management, regulators, auditors, etc.
Requirements:
- At least a Degree in Accountancy, Finance or equivalent, candidates with legal background will be highly preferred.
- Minimum 5 years of relevant experience in a senior compliance role
- Strong in AML and financial risk requirements
- FCA qualified, MLRO qualifications
- AML and ABC legislation in the Americas and APAC.
- MiFID II, AIFMD, Market Abuse Regulation
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