Compliance Associate

Posted 21 June 2021
Salary £45000 - £50000 per annum
Location
Job type Permanent
Discipline Banking Operations
ReferenceNEWCOM_1624291296
Contact NameWill Goodman

Job description

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)