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Compliance Monitoring Analyst

  • Location

    City of London, London

  • Sector:

    Operations & Middle Office

  • Job type:

    Permanent

  • Salary:

    £25000 - £35000 per annum

  • Contact:

    Scott Duerden

  • Job ref:

    SDMO2_1537372745

  • Published:

    3 months ago

Our client, a prestigious FX company based in the City are looking to recruit a Compliance Monitoring Analyst & Assistant to join their rapidly expanding London office.

Main responsibilities will include;

  • Completion of daily client account monitoring for PEP and Sanction matches
  • Reviewing FX trades and payments, to evaluate alerts and determine if further investigation is required
  • Periodic file reviews on existing client database, to ensure information held is kept up to date and risk remains the same
  • Provide regular reporting as to the status of files that have been and are currently being reviewed
  • EMIR Transaction Reporting
  • Monitoring of phone calls to ensure regulatory requirements are not breached Ongoing monitoring of LEI status and client categorisation
  • Authorisation of high risk payments and 3™ party bank accounts
  • Assisting with the updating of Compliance Monitoring Policies and Procedures Provide input and assist with testing and development of new systems. Keeping abreast of regulatory developments and helping to train staff.
  • Assist in compiling Management Information for the Directors.

To be considered for this position, ideal candidates must have previous knowledge of FX Forwards, knowledge of the FCA Handbook specifically COB 3 & 10 and previous experience within a KYC/monitoring team within Financial Services.

If you're interested in discussing these fantastic opportunities, please contact me at your earliest convenience

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