FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Compliance

My client a leading independent broker providing trading services in Forex, Contracts for Difference (CFDs) and Spread Betting is seeking an analytical individual who has good attention to detail and a good understanding of FCA Regulations to join their team as a Compliance Analyst.

JOB TEXT

My client a leading independent broker providing trading services in Forex, Contracts for Difference (CFDs) and Spread Betting is seeking an analytical individual who has good attention to detail and a good understanding of FCA Regulations to join their team as a Compliance Analyst.

Main duties
* Provide support and assistance to enable effective monitoring of the Firm's systems and controls in line with the Compliance Monitoring Programme.
* Provide advice and guidance to the Client Onboarding Team in relation to new applications when required.
* Liaise with the marketing team to ensure the relevant processes and procedures are followed and ensure marketing materials are compliant with the financial promotions regulations.
* Ensure compliance logs are kept up to date.
* Assist with complaints handling where required.
* Gather information for monthly MI and assist in preparation of the monthly compliance pack for senior management team.
* Provide regulatory updates, reports and research on requested subjects and assist with horizon scanning.
* Provide other assistance as required by Head of Compliance on an on-going basis;
* Assist with any ad-hoc compliance projects.

Qualifications required
* Strong academic background, educated to degree level or equivalent, preferably law, economics or business.

Desirable experience
* At least 1 years' experience of working in a compliance environment.

Key competencies
* The ability to communicate clearly, both verbally and in writing.
* The ability to prioritise workloads effectively, operate under pressure and meet deadlines.
* The ability to work individually and as part of a team.
* Attention to detail and strong analytical skills.
* Good understanding of the FCA regulations that impact the Firm.

A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
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  • GBP30000.00 - GBP35000.00 per annum
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Charles Levick
  • 2018-06-18
Londres, Angleterre, Royaume-Uni Londres Angleterre GB