Head of Compliance, LMAX Europe Limited


About the Role:

Compliance Officer’s duties including evaluating all current and new compliance regulations, reviewing company processes and policies, suggesting improvements and leading training sessions for company’s employees.

Main Duties & Responsibilities:

  • Reviewing the adequacy of Customer Due Diligence (CDD), Know Your Customer (KYC), Know Your Business (KYB), source of funds, client information, client profiling and suitability during the account opening process
  • Providing the business with advice and guidance on all relevant CySEC’s regulatory obligations and requirements
  • Working with the business to ensure that the firm establishes and maintains appropriate policies, procedures, systems and controls in accordance with CySEC’s regulations.
  • Monitoring all aspects of the business to identify actual or potential weaknesses of internal controls and advising on remedial action that may be taken by line management.
  • Is in liaison with regulators, auditors and other group companies and external organisations where appropriate.
  • Provide AML and Compliance trainings and awareness to the business as required
  • Will be the first point of contact for any AML escalations & queries providing guidance as needed.
  • Assist to ensure adequate AML controls and policies are in place.
  • Conducting regular desktop investigations on existing clients
  • Monitoring the client screening process, regularly testing the system to ensure it is robust and reliable.
  • Providing feedback on the positive screening hits escalated from Client Onboarding Team.
  • Conducting regular transaction monitoring on high risk accounts, reviewing and investigating
  • suspicious transactions and internal SARs.
  • Deliver the AML training programme, ensure all new starters are promptly trained and regular refresher training are given to all existing staff.
  • Ensure accurate KYC/AML information is recorded for risk management purposes.
  • Help manage and train Alternate AML Officer.


Essential Skills / Experience:

  • University degree or equivalent
  • Excellent proficiency in MS Office application.
  • Confident and proactive in communicating with people at all level
  • Great team player with the ability to foster close working relationships with colleagues
  • Results orientated with a strong bias for action and outcome
  • Excellent communication skills both verbal and written
  • Comfortable with working in a young, technology driven environment with a great deal of responsibility and autonomy
  • Desire to contribute to success in areas beyond the core compliance areas

Desirable Skills / Experience:

  • Language skills desirable
  • Team leading experience is desirable
  • Contract Drafting experience required
  • Compliance experience with knowledge of the FCA handbook.
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