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Compliance Associate

  • Location

    City of London, London

  • Sector:

    Operations & Middle Office

  • Job type:

    Permanent

  • Salary:

    £45000 - £55000 per annum

  • Contact:

    Scott Duerden

  • Contact email:

    scottd@kennedypearce.com

  • Job ref:

    SDCAIN01_1624291123

  • Published:

    3 months ago

My Client who are an FX Client based in the heart of the City are looking to hire a Compliance Associate to join their growing team

Main responsibilities of the Compliance Associate will include;

  • Day to day compliance oversight of our client's operations under FCA regulation.
  • Delivery of the compliance monitoring plan/programme.
  • Manage account opening queries including KYC requirements, corporate applications and PEP/Sanction screening.
  • Review and approval of financial promotions.
  • Monitoring of regulatory and legislative changes and assessing their impact on the business.
  • Involvement in the rollout of compliance projects.
  • Facilitate training sessions on compliance topics.
  • Assisting in suspicious activity investigations.
  • Act as the compliance contact for the FCA business.
  • Develop and maintain compliance policies and processes in line with regulatory developments.
  • Deliver compliance reports, as required.
  • Work with the Compliance Officer to interpret regulatory developments affecting the business and project manage the implementation of these changes within the business.
  • Record and respond to client complaints and preparing complaints related management information.
  • Review and approve financial promotions.

To be considered for this position, ideal candidates must have the following experience and skills;

  • A minimum of three years' experience of compliance in a retail customer environment, ideally in relation to OTC derivatives (CFDs, FX, spread betting).
  • Relevant professional qualifications or progression towards such.
  • Ability to deliver projects and assignments to deadlines.
  • Capacity to manage multiple tasks and conflicting priorities.
  • Languages a plus (Portuguese, Chinese)

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