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Compliance Manager

Full Time Permanent Position


Transformation is the name of the game. 

Halo Financial is in the midst of an exciting period of restructure and growth. That has created an opportunity for a client-service-centric, commercially savvy, Compliance Manager who knows what to do with autonomy, wants full board backing and given the opportunity, will lead Halo in becoming the stand-out Foreign exchange business when it comes to compliance excellence. 

Our board is looking to realise the full potential of our next strategic and commercial leap. That’s going to involve doing things differently, being better than others, striking a major cord the right way, at the right time with the right insight. It won’t happen without talented, forward thinking people.

Foreign Exchange Market, at the Heart of Financial Services London

 
The Role: 
Working with the CEO and other functional leads, this role steps up to; offer guidance and advise at a strategic level and implement regulatory and compliance process improvements to ensure adherence across B2B, B2C and channel/platform activities. 

The Remit: 
  • Manage enterprise wide AML risk assessment 
  • Ensure that the business does not breach any sanctions
  • Ensure that the business complies with PSD2, MIFI II, POC and all relevant regulations and laws
  • Liaise with the external DPO on all matters related to data protection
  • Manage Anti-Bribery and Corruption activities in line with Bribery Act 2010
  • Ensure that all relevant forward contracts are compliant with  MiFID I
  • Manage regulatory reporting – capital adequacy, fraud and complaint statistics, operational and security risk assessments
  • Review customer communications to ensure sales material is fair and compliant
  • Design and manage M.I., reporting and updates for the board.
  • Manage ad-hoc projects throughout the year to ensure continued compliance with regulations
  • Assist with multiple external audits over the course of the year, such as AML, security, financial etc.
  • Oversee accurate record keeping and management
  • Conduct horizon scanning; maintain awareness of future developments and coordinate the business’s response in good time
  • Carry out research and advise on the design of any new product or services, ensuring full compliance
  • Lead on risk management with and through other functional leads to manage enterprise risks to the business and improve resilience.
  • Become Halo’s go-to on compliance matters across the business
  • Train all staff on the business’s policies, procedures and controls relating to compliance
  • Oversee the customer application process and authorise Trading Facilities.
  • Manage Suspicious Activity Reports
  • Maintain records of all activity and work with developers to improve reporting


The Successful Applicant: 
  • ACAM’s qualified or equivalent
  • Passionate about compliance - Lives the values, communicates company culture
  • Curious - Ear to the ground, listens to learn
  • Collaborative - Thirst for knowledge and knowledge share  
  • Genuine - Influences to raise standards
  • Entrepreneurial - Horizon scanning
  • Consistent - Excellence driven
  • Ethical - Commercial acumen    
  • Diplomatic - Adept relationship builder  
  • Assertive - Key stakeholder management
  • Focused - Commercial and reputational risk awareness
  • Organised - Manages resource and meets budget
  • Influential - takes the lead and leads improvement by example

The Offer: 
  • Competitive salary and benefits package in line with experience and proven impact
  • Working in World’s largest and fasted moving market; Foreign Exchange
  • Based in one of London’s most up and coming business districts (US embassy, Apple HQ)
  • Working for a firm that puts people first and treasures its culture 

Company Profile

Halo Financial is a leading UK foreign exchange brokerage, offering a comprehensive range of services to individuals and businesses since its inception in 2005. 

We pride ourselves on offering a flexible and personalised approach for each of our clients and a progressive, rewarding environment for our people. We are expert in navigating the seemingly complex foreign exchange market on behalf our clients to maximise savings in currency transactions and make money go further.

Halo Financial are winners of the Gold Award of Best Supporting Service at the OPP awards, the Gold Award for Financial Support and Innovation from Re:Locate Magazine and 5 out 5 star gold merchant status rating via independent review website - Feefo.com.

Interested and ready to get started?

Contact us via recruitment@halofinancial.com with your details, history of success and career aspirations and we’ll do the rest.

NOTE: This job description is not intended to be all-inclusive. Employee may perform other related duties as negotiated to meet the ongoing needs of the organisation.