Jan 13, 2022

Deputy Compliance Officer

  • Finalto
  • London, UK
Full time Compliance Legal

Job Description

Role & Department 

we are looking for Deputy to the Compliance Director and MLRO (SMF16/17)


What you'll be doing

  • Monitoring and interpreting regulatory developments and advising on business impact and necessary process changes;
  • Deputising to the MLRO with all relevant matters including liaison with the regulators and the NCA;
  • Researching regulations and legislations; acting as advisory support to the Compliance Director and the firm;
  • Preparation and review of documentation for high risk clients, escalating to the MLRO as required;
  • Assisting with review and investigation of internal SARs and STORs;
  • Assisting with and analysing ongoing Compliance Monitoring Program obligations, such as Best Execution, TCF, Onboarding reviews and Complaints handling
  • Assisting with any regulatory matters, including data protection (GDPR), privacy, AML/CDD, MAR, MiFID II, SMCR, PRIIPs;
  • Assisting with the design and implementation of the compliance monitoring programmes as well as completion and review thereof;
  • Development and management of accurate data analyses to enable the Compliance Director to report to the Executive Committee and Board on key risks, issues and actions taken;
  • Development and the on-going maintenance of policies and procedures to ensure the firm remains compliant with regulations;
  • Assisting with complaints handling for all complaints made against the Firm, its members and/or its staff;
  • Reviewing marketing materials, presentations and websites to ensure compliance with regulatory requirements;
  • Keeping up to date with-, and understanding, relevant laws and regulations, ensuring ongoing compliance with laws, regulations and internal policies.

What you'll bring

·       At least 5 years’ practical experience in a Senior Compliance and Financial Crime prevention role in an FCA regulated firm;


·       Previous CF/SMF experience or direct support thereto;

·       Excellent technical compliance skills in the areas of COBS,MAR, MIFID II, DISP, CASS, SYSC and PERG.

·       Significant knowledge of FCA industry standards and regulations;

·       Demonstrable knowledge of AML legislation and a working knowledge of the JMLSG guidance for brokerage products;

·       Significant knowledge of anti-financial crime related matters – ABC, Fraud, MAR, Sanctions, AML/CTF, etc

·       Strong knowledge of financial crime typologies, risk indicators pertaining to them and solutions to mitigate the risk;

·       Proven track record of experience providing expertise and management of compliance issues in an FCA regulated firm;

·       Excellent drafting skills;

·       Demonstrable experience of problem solving and root cause analysis and identification skills;

·       Experience of working in a rapid growth, scaling environment

·       Must be able to perform independently and with minimal supervision

Who we are

Finalto Financial Services is a FCA regulated investment firm with offices around the world. The company provides multi-asset execution, prime brokerage, and trading technology solutions for institutional and retail clients. It is one of the most respected and reputable investment venues for Tier 1 liquidity in the world, having been voted “Best Liquidity Provider” for four years running at the Finance Magnates industry awards. The firm is owned by Playtech Plc.