Head of Compliance

at  Gold Grain Capital Ltd

QUALIFICATIONS:

• Extensive and proven track record in regulatory compliance within the financial services or consultancy sectors, preferably within MiFID firms (5 years+)
• 3+ years of experience in an SMF role
• Thorough comprehension of the UK and European regulatory landscape for financial services, encompassing MiFID II and AML/CTF regulations.
• Experience in dealing with Italian AFM (NL) CONSOB (IT), FCA (UK)
• In-depth knowledge of relevant regulations and standards, such as AML, KYC, and sanctions.
• Strong understanding of trade finance products and services.
• Excellent communication and interpersonal skills, with the ability to effectively interact with stakeholders at all levels of the organization.
• Proven leadership experience, with the ability to work in a team.
• Produce high quality material under stress.
• Professional certifications such as Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) preferred.

TECHNICAL SKILLS:

• Microsoft Office, all suites. (must)

• Ongoing development and maintenance policies and procedures to ensure compliance with applicable laws and regulations, including but not limited to anti-money laundering (AML), know your customer (KYC), and sanctions regulations.
• Conduct regular compliance risk assessments and implement controls to mitigate identified risks.
• Monitor changes in regulatory requirements and assess their impact on the business.
• Oversee compliance monitoring and testing activities to ensure effectiveness.
• Act as the primary point of contact for regulatory inquiries and examinations.
• Prepare and submit regulatory documentation to the FCA, AFM and CONSOB and act as point of contact with the UK, Dutch and Italian authorities.
• Identification of market abuse practices and reporting to FCA, AFM and CONSOB.
• Coordination with the head of compliance of other entities of the group.
• Participation in global compliance and AML projects.
• Review of marketing material.
• Call monitoring.
• Provide guidance and training to Company staff on compliance and AML-related matters.
• Serve as a first line subject matter expert, offering guidance and support to business teams regarding the interpretation and application of relevant regulatory standards and company policies.
• Conducting regulatory analysis prior to the launch of new financial products and providing advice to the business units involved.
• Coordination with all business units for the regulatory implementation of new projects.
• Designing of reporting systems.
• Work hand in hand with the outsourced compliance agencies.
• Onboarding of new clients and issuers
• Collaborate with internal stakeholders, including legal, risk management, and operations, to address compliance issues and implement solutions.