Linear are always happy to hear from enthusiastic and talented individuals looking to join our team. We are not currently looking to fill any roles but if you feel you have the drive, personality and skill set we would find irresistible, please apply via email to: firstname.lastname@example.org.
Interim Deputy Compliance Officer
(6 month contract)
We have an exciting opportunity for an enthusiastic individual to join the business as Interim Deputy Compliance Officer (6 Month contract). Reporting to Head of Compliance.
Linear is a privately owned, fast growing business with a highly scalable model as a Prime and Agency Broker, providing the complete suite of multi-asset Brokerage services to its buy-side clients, from execution through to margin financing, custody and settlement of equities, fixed income, FX, mutual funds and structured notes.
We have an exciting opportunity for an enthusiastic individual to join the business as Interim Deputy Compliance Officer (6 Month contract). Reporting to Head of Compliance, you will be responsible for:
- Supporting Head of compliance with reviewing and execution of compliance monitoring functions and controls
- Checking new customers are compliant with the firm’s KYC/AML requirements
- Reporting/escalating any anomalies to Head of compliance.
- Preparing and reviewing policies and procedures, draft responses to client enquiries.
- Assist Head of compliance with enquiries from regulators and prepare reports for regulators
- Assisting in the firm’s compliance monitoring program ‘CMP’ as required
- Assisting the firm in complying with its market surveillance monitoring responsibilities.
- Communicate effectively with senior management and maintain a strong relationship with department heads and team
- Providing support to Head of compliance on various projects as necessary
We are looking for someone with:
- Previous experience as Deputy MLRO/compliance officer within Brokerage / Hedge Fund Environment is essential
- Affluent in drafting policies and procedures
- Excellent knowledge on conducting AML and KYC checks
- Good knowledge of FCA regulations and guidance/ SMCR and laws regarding money laundering and financial crime.
- Excellent analytical, communication, time management and project management skills
- Bachelor’s or master’s degree in Law/ Economics/ Finance or equivalent
If interested, email your CV and covering letter to email@example.com
Head of Risk
To ensure that the firm adequately manages all Risk exposure. Reporting, Mitigating, Checking and reporting to Management. To champion Risk as an essential business tool.
Relevant experience is necessary.
- Set out the strategy for the risk management team in order to protect the Company, it’s clients, staff and reputation.
- Establish, Maintain and Continuously Improve the Firm’s Risk Framework, reporting metrics as appropriate and taking actions in order to ensure the firm complies with regulation and within the Firm’s stated Risk Appetite.
- Development and maintenance of Risk Models and subsequence management of market risk, credit risk and operational risk
- Assessment and reporting of Risk for any of the Firm’s existing or proposed new business activities or methods used for existing business activities
- Assessment and reporting of Risk against client portfolios
- Set up controls, measuring their effectiveness through a programme and reporting findings to management. To ensure all findings are addressed in a timely manner and reporting this to management.
- Maintain all Risk Incidents in a register, ensuring all are mitigated/closed and reported to management.
- Monitoring and escalating, where appropriate, any inadequacies in regard to the front-to-back trading lifecycle – within all trading activities undertaken by Linear Investments Ltd.
- Constant review of trading limits, making changes where necessary.
- To maintain current understanding of the regulatory landscape and adapting to any changes as appropriate.
- To be responsible for the first line oversight and second line review of the Firms market surveillance activities.
- Partnering effectively with third parties, regulatory bodies and others, as appropriate; and serving as a role model for high personal and corporate ethical values and standards of integrity.
- Responsible for oversight and management of the Risk Team (Currently 1 FTE).
Knowledge & Skills
- Considerable knowledge and experience of best practice risk management and governance frameworks, methodologies, in relation to the UK/European financial services context
- Knowledge of regulatory environment and key regulatory regimes, including knowledge of the regulatory principles.
- Strong verbal and written communication and presentation skills
- To be able to demonstrate adherence to the Fit and Proper criteria of the regulator
- Excellent analytical skills and ability to understand complex information to identify key issues/actions and drive solutions