Ultima Markets
AML and Compliance Officer
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AML and Compliance Officer
Key Responsibilities The below outlines the core responsibilities of the role. Additional duties may be required on a reasonable basis, in line with business needs and regulatory expectations.
Compliance Oversight (SMF16) Lead and maintain the firm’s compliance framework and internal controls Ensure ongoing compliance with FCA rules (e.g. SYSC, COBS, SUP) Provide clear, practical regulatory advice to senior management Monitor regulatory developments and support implementation Act as the primary contact for the FCA and regulatory bodies
Financial Crime & AML (SMF17 – MLRO) Act as the firm’s appointed MLRO and nominated officer Oversee AML/CTF policies in line with UK regulations (MLR 2017) Review and escalate suspicious activity reports (SARs) Oversee client onboarding (KYC, CDD, EDD) and ongoing monitoring Manage sanctions, PEP screening, and financial crime controls
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Governance & SMCR Maintain the Statement of Responsibilities (SoR) Support implementation of SMCR across the business Oversee Certification Regime and Fitness & Propriety processes Ensure clear governance and allocation of responsibilities
Monitoring, Assurance & Reporting Deliver and maintain the Compliance Monitoring Programme (CMP) Identify regulatory risks and control gaps Provide regular reporting to senior management and the Board Manage FCA submissions, regulatory returns, and queries
Advisory & Culture Provide day-to-day compliance advice to the business Review policies, procedures, and marketing materials Deliver compliance and AML training Promote a strong compliance and risk-aware culture
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Authority & Independence The role holder will have sufficient seniority, authority, and independence to effectively discharge their responsibilities, including full access to all relevant information, systems, and personnel across the business.
Key Accountabilities The successful candidate will be accountable for: Compliance oversight (SMF16) Financial crime framework (SMF17) Effectiveness of internal controls and governance Escalation of material risks to senior management and regulators
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