ENDED
- Link: Head of Compliance and MLRO from Axes
- Dates: Until December 31, 2020.
- Job location: London, UK.
- Job description: Act as SMF 16 (Compliance oversight function) and SMF 17 (Money laundering reporting function) of Axes LLC and be accountable to the FSA. Be the point of contact with the FSA and other regulatory authorities. Act as an adviser to the Board of Directors. Monitor the clients’ onboarding and ongoing business relationships. Review and recommend changes to current internal practices, policies, procedures and controls to ensure compliance with FSA principles. Respond to compliance enquiries. Review and approve financial promotions and provide training and guidance to the Marketing Department’s employees on promotions, client communications. Be responsible for the submission of ongoing and ad-hoc FSA returns/ filings and other notifications. Implement a training and competence program. Investigate promptly any suspicious activities and ensure that these are reported accordingly. Oversee and/or collaborate with the relevant business units on compliance and anti-money laundering.
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