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FX trading company looking for Compliance Officer in London

Posted 8 March by JAC Recruitment (UK) Ltd Easy Apply Ended

Compliance Officer

Salary

£50,000 per annum

Job Profile

Our Client is a leading Japanese online FX trading company seeking a candidate with experience in FX/CFDs industry

Main Responsibilities

  • 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
  • Monitoring of Account Opening/Funding operations, and outsourced Account Opening/Funding 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, and manage the implementation of operational requirements resulting from such laws within the company
  • 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 and arrange Risk Committee meetings on a periodic basis
  • Prepare and update the company’s ICAAP document timely basis
  • Manage external compliance advisers
  • Other related tasks and support to the company’s business development, as directed by the company’s management team

Who we are looking for

  • Great attention to the details, be able to meet the deadlines
  • Experience with FX/CFDs firm in compliance team
  • General skill for communication and negotiation
  • Good people skills, good interaction with people internally and externally

Visa

Eligibility to work in the UK without restriction.

If you would be interested in applying for this position, please contact:

Eisaku Niizato

Required skills

  • Compliance
  • Compliance Monitoring
  • Finance
  • CFDs
  • FX trading

Reference: 34636943

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