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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
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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