London - Holborn
Up to £55,000 + benefits
Our client, a brokerage based in central London seek a compliance officer to join their team on a permanent basis. If you have Compliance experience across Commodities or Derivatives then I would like to talk with you.
Responsibilities of the Compliance Officer will include but not limited to:
Screen customers and connected entities using online screening tools and update any possible matches on a daily basis (sanctions, PEPs).
Conduct training and education programs to keep staff apprised of new rules and regulations, policies and processes and regulatory events on an as-needed basis.
Review, analyse and implement into procedures and business practices applicable rules and regulations affecting the company.
Communicate with regulators and exchanges to comply with rules of the regulatory regimes and responding to regulatory investigations.
On-board customers in line with the firm’s Customer Due Diligence (CDD) necessities.
Certain administrative tasks such as administration of access to various systems.
Have you got the essential requirements?
Work involvement at a regulated financial services organisation or an exchange.
Strong understanding of key laws, rules and regulations affecting the industry.
Previous familiarity of carrying out compliance monitoring and surveillance (both manual and automated)
Solid understanding of financial crime and its prevention and detection, AML/CTF and sanctions requirements.
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