A great opportunity for those who has 1-3 years experiences in compliance within FX/Financial sector!
We are currently recruiting a compliance officer for the implementation of the compliance agenda throughout the firm.
The varied nature of the role will lead to the successful candidate expanding on their experience across multiple facets of compliance and other areas of the business.
Job Description (but not limited to)
- Carry out the Compliance Monitoring Plan (CMP) as a member of staff responsible for following and carrying out the CMP schedule, in relation to all required staff and departments within the company
- Responsible for FCA return, FCA connect, FCA invoice, and FCA Online Invoicing
- Responsible for Reports to the parent company such as Monthly/Quarterly/Yearly Compliance Report, Group Risk Report, and Regular Compliance Check report, etc.
- Handling and continuous assessment of the company’s KYC/AML procedures and jurisdictional risk assessments, and ensuring internal systems and procedures are compliant
- Supervision of Account Opening Assistant staff, and outsourced Account Opening operations to group companies
- Management of the company’s AML and KYC systems, and Account Opening procedures
- Carrying out internal procedures
- Approve and monitor the company’s marketing materials and activities
- Responsible for maintenance of client-facing legal documents and internal procedure
- Be informed and updated about FCA regulations, and related laws & regulations affecting the company’s business, including EMIR & MiFID
- Keeping all staff informed and updated about Compliance matters relating to all staff and departments
- Arranging required compliance staff training on a timely basis
- Ongoing monitoring and supervision of the company’s outsourced Client Services operations to group companies
- Official client complaint handling
- Organise Risk committee timely basis
- Prepare and update the company’s ICAAP document timely basis
- Manage external compliance advisers
- Other language related tasks and support to the company’s business development, as directed by the company’s management team
- Minimum 2-3 years' experience in a compliance role within the FX/CFDs firms
- Knowledge and experience with CF10, CF10a or CF11
- Experience producing policies and procedure
- Experience with Internal IT and infrastructure
- Business planning and presentation internally and externally
- Knowledge and understanding of current FCA handbook
- Strong analytical skills and meticulous attention to detail
- Strong MS Office skills
- Legal background is highly advantageous
- Good people skills, good interaction with people internally and externally
- Salary: £40-50,000/p.a., negotiable depending on experience
- Other benefits are available
- Location: City
For more information, please contact us immediately!
*** Access Appointments Consultancy Ltd is a recruitment agency based in London. Please note that we’re afraid that due to the high volume of applications we receive, we may not be able to provide feedbacks on individual CVs. Also we can only consider candidates who are eligible to work in the UK and are able to provide relevant supporting documentation such as passport/visas when required. Thank you for your time and cooperation***
- FX trading