Our client is a world-leading, regulated cryptocurrency trading platform and index provider. This firm is the first regulated entity to list futures on Bitcoin, Ethereum, Ripple XRP, Litecoin and Bitcoin Cash. In addition, CF Benchmarks is the first cryptocurrency index provider to have received FCA authorisation as a Benchmark Administrator.
Overview of the role
As Compliance and Monitoring officer, you will be responsible for reporting, monitoring and implementing policies that ensure the companies are meeting their regulatory requirements. You should be diligent with a keen attention to detail and a track record of seeing tasks/projects through to conclusion. The ideal candidate should have experience working in monitoring, have experience working at an exchange and/or brokerage.
Responsibilities this is a dynamic role in a fast-changing business – but for example you will:
Assist with quarterly and yearly FCA returns/ad hoc filings
Assist with the drafting and maintaining of the certification under the new SMCR requirements
Document any technology changes and ensure governance framework is followed
Maintain and adapt any market monitoring and surveillance policies
Be a point of contact for client questions on the rulebook
Conduct complaint investigations and maintain corresponding logs
Maintain and adapt the AML policies as new regulations come in
Assist with producing the annual platform assessment
Assist with maintaining the compliance monitoring program for both entities
Conduct monthly spot check of new clients onboarded against policy and procedural requirements
Profile, documentation and authentication parameters and maintain log
Conduct monthly review of alerts and reports and maintain log
Summarise reports in an annual presentation to the Boards Review and approve all financial promotions and marketing materials, store all approved and maintain log – summarise in quarterly board reports. Devise a process and policy for this to ensure consistent review.
Review compliance training undertaken by staff, sourcing suppliers and maintain log – summarise in annual board report.
Conduct annual policy review – fitness, ensure compliance, remediate issues
A degree from an accredited institution, or equivalent relevant experience
4-6 years of compliance monitoring experience
Ideally from an exchange or brokerage background (in market surveillance/monitoring capacity)
Cryptocurrency or fintech experience desirable
Experience working in a start-up environment a bonus
Technical background a major plus
Calm under pressure
A self-starter that gets things done
Able to work in a team environment, whilst benefiting from great autonomy
Equally comfortable communicating with a technical and non-technical audience
Able to see the big picture
Numerically literate and a great communicator
Rutherford is a boutique search firm that specialises in legal, financial crime and compliance recruitment within the financial services and legal sector, with London and New York being the main focus. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms and investment banks.
We are currently looking for regionally-located Compliance Officers from the following areas who would be interested in working for London firms on an interim WFH basis:
Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire. We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.