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Compliance Assistant

  • Location

    City of London, London

  • Sector:

    Operations & Middle Office

  • Job type:

    Permanent

  • Salary:

    £18000 - £23000 per annum

  • Contact:

    Scott Duerden

  • Contact email:

    scottd@kennedypearce.com

  • Job ref:

    SDINCA01_1638380333

  • Published:

    6 months ago

Global FX & CFD Broker based in the heart of the City, are looking to recruit an additional Compliance Assistant to join their rapidly expanding London office. In addition to the overview of key objectives and principal tasks and responsibilities, the Compliance Assistant will be accountable for:

  • Considering his/her areas of responsibility and identifying procedures or processes which might give rise to circumstances where customers might not receive fair treatment.
  • Reviewing all relevant areas of his/her duties on a regular basis and informing the Compliance Officer (CO) of any possible deficiencies.
  • Reporting any suspicion of fraud, financial crime or money laundering to the Money Laundering Reporting Officer (MLRO).
  • Reporting any suspicion of market abuse (including insider dealing) to the CO.

Overview of the Key Objectives of the Position:

  • Delivery of the compliance monitoring programme.
  • Review of new account opening.
  • Assisting in suspicious activity investigations.

Principal Tasks and Responsibilities include, but are not limited to:

  • Deliver compliance reports, as required.
  • Delivery of the Compliance Monitoring Plan.
  • Overall management and control of the central Compliance Portal.
  • Other tasks and responsibilities as assigned by the CO.

To be considered for this position, ideal candidates must have a strong desire to work in Compliance and have the following experience and skills;

  • Although no direct experience of the CFD/FX industry is required, a knowledge of the financial services industry as a whole would be beneficial.
  • Progression towards relevant qualifications.
  • Ability to deliver projects and assignments to deadlines.
  • Capacity to manage multiple tasks and conflicting priorities.

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