CO & MLRO

Position: Compliance Officer & MLRO

Company Overview: 

Hoxton Capital Management Europe Ltd is a Cyprus Investment Firm (CIF) registered under CySEC license number 432/23. The Company is related to Hoxton Wealth, which has offices in key locations including the United States, the United Kingdom, Dubai, South Africa, and Australia, and offers financial services with a focus on wealth management, tax efficiency and technology-driven solutions. Hoxton Wealth manages over £2.5 billion in assets under management (AUM) globally, and Hoxton Capital Management Europe Ltd contributes to this by providing personalized investment advice and cross-border financial planning tailored to each clients needs. Through its integration of innovative technology, the Company is committed to helping clients achieve long-term wealth growth and preservation.

Role Overview: The role of the AML and Regulatory Compliance Officer is dual:

The role includes responsibility for the establishment, implementation, and ongoing maintenance of robust policies, procedures, systems, and controls, aimed at effectively preventing money laundering and terrorist financing while also effectively mitigating the risk of non-compliance with the Companys obligations, in accordance with applicable legal and regulatory requirements.

Key Responsibilities:

AML Compliance Officer

v Design, implement, and maintain internal policies, procedures, and controls aimed at the effective Prevention of Money Laundering and Terrorist Financing (AML/CTF), in accordance with applicable legal and regulatory requirements,

v Monitor compliance with AML/CTF obligations and internal procedures, including conducting onsite departmental reviews,

v Receive, evaluate, and investigate internal suspicion reports to determine the presence of potential money laundering or terrorist financing activities, and taking appropriate action in accordance with regulatory obligations and internal procedures,

v Submit reports to the Unit for Combating Money Laundering (FIU/MOKAS) where warranted, in accordance with legal and regulatory requirements and based on the outcome of internal investigations.

v Prepare comprehensive written reports to the Management Body, at least on an annual basis, providing information on the measures taken and procedures implemented by the Company, during the reporting period, to ensure compliance with any amendments or new provisions of the AML/CTF Law and relevant CySEC Directives and guidelines. The annual report along with the Board minutes, shall be submitted to the CySEC in accordance with applicable regulatory requirements,

v Prepare reports (e.g., MPS) and ensure their timely submission to the CySEC, in accordance with regulatory obligations,

v Train and educate the Company's staff on the AML/CTF framework, in accordance with applicable laws and regulations, including, where necessary, the provision of day-to-day guidance and support to ensure ongoing adherence to internal policies and AML/CTF regulatory requirements,

v Liaise with Regulatory Authorities, including the CySEC and the FIU, and responding promptly and accurately to any inquiries, requests for information, or directives issued relevant to AML/CTF.

Regulatory Compliance Officer

v Liaise with all relevant business and support functions within the Company to ensure effective coordination and alignment on compliance-related matters, facilitate the implementation of regulatory requirements, and support the development and maintenance of a robust compliance framework,

v Monitor and assess, on a regular and ongoing basis, the adequacy and effectiveness of the measures, policies, and procedures implemented by the Company, as well as evaluating the actions taken to address any identified deficiencies, to ensure sustained adherence to regulatory requirements,

v Monitor and assess the Companys compliance risk profile, through the implementation of a Compliance Risk Assessment and Compliance Monitoring Plan, considering the nature of the investment and ancillary services provided, as well as the range of financial instruments distributed, to ensure that all potential risks are effectively identified and managed,

v Approve the information script and/or standard FAQ to be shared with Clients, monitor the operations of the complaints-handling process, while considering complaints as a source of relevant information, in the context of its general monitoring responsibilities,

v Prepare comprehensive written reports to the Management Body, at least on an annual basis, detailing the implementation and effectiveness of the overall control environment governing investment services and activities. The annual report along with the Board minutes, shall be submitted to the CySEC in accordance with applicable regulatory requirements,

v Prepare reports (e.g., QST) and ensure their timely submission to the CySEC, in accordance with regulatory obligations,

v Train and educate the Company's staff on matters related to the Compliance Function in accordance with applicable laws and regulations, including, where necessary, the provision of day-to-day guidance and support to promote the ongoing adherence to internal policies and regulatory requirements,

v Represent the Company in all interactions with CySEC and other relevant regulatory bodies and external stakeholders, ensuring accurate, timely, and transparent communication.

Qualifications and Requirements:

· A bachelor's degree in law, finance or a related discipline from reputable universities.

· Professional certifications e.g., CySEC Advanced and CySEC AML (mandatory), ACAMS, CISI or other AML/compliance certifications considered an advantage.

· Minimum of 2 years of experience in a relevant role within the financial services sector, ideally in wealth management or financial advisory.

· Comprehensive knowledge of international investment products, including their key features, costs and benefits.

· In-depth knowledge of MiFID II regulations, including suitability assessments.

· Excellent English communication skills and the ability to deliver constructive feedback and collaborate across teams.

· Self-motivated with the ability to manage workload effectively in a fast-paced, deadline-driven environment.

· Meticulous and highly organized, with strong attention to detail, sound judgment, and effective problem-solving abilities."

· Demonstrated commitment to professional ethics, integrity, and confidentiality.