We at Findoc Capital Limited (registered under ADGM) are looking to recruit a Compliance Officer to be a part of the collaborative Compliance Team who are passionate about GRC (Governance, Risk and Compliance) and maintain a compliance focused culture across FCL’s operations and business. You will primarily be involved in the delivery of the core compliance management plan and activities related to the broader regulatory compliance framework.
If you believe you match our criteria for this role, we look forward to hearing from you!
MAIN DUTIES AND RESPONSIBILITIES
• Working with the Compliance Director & MLRO to embed FCL’s regulatory compliance framework in the firm’s operations and culture.
• Assisting the Compliance Director in developing, implementing, and administering the Company’s AML & Compliance Management Program.
• Ensure regulatory compliance in the FX and CFD sector.
• Assisting with the development and review of AML compliance manuals, policies, procedures, and systems.
• Assisting with reviews of marketing material, websites and new products.
• Performing regular control testing activities outlined in the FCL Compliance Management framework and Compliance Monitoring Plan to ensure compliance with regulatory and licensing requirements.
• Assisting with assessing incidents, errors and breaches and maintain the relevant registers.
• Dealing with client complaints, assisting with the internal and external dispute resolution process and drafting complaint responses.
• Handling compliance and legal matters related to compliance.
• Ongoing monitoring of the compliance of the firm with all applicable regulato provisions and providing regulatory and compliance advice to the business.
• Driving proactive improvements to the business in ways that will improve controls, reduce risk and raise compliance standards while still supporting business growth.
• Research new and existing laws, regulations, policies, and industry standards and identify existing and emerging business practice issues and risks that may apply to FCL’s licensing and operations.
• Day-to day operational oversight of the Anti-Money Laundering and Counter- Terrorism Financing function.
SKILLS & QUALIFICATIONS
• 5-7 years of working experience within FX and CFD brokerage firms
• In depth understanding of regulatory compliance obligations for brokerage firms in major jurisdictions (F FS a specific focus on Retail client regulatory framework.
Experience of implementing KYC, TCF and other core compliance principles in a Retail brokerage environment.
• Knowledge of multiple asset classes including FX, CFDs, securities, financial futures and options is a must.
• A strong understanding of compliance management frameworks and compliance monitoring plans.
• Articulate and be able to provide structured, concise, considered, and accurate guidance.
• Well-developed doentation and policy writing skills.
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