City of London, London
£45000 - £50000 per annum
5 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)