Our client is a subsidiary of an international bank, providing capital market and securities trading services. This role will report to the Head of Compliance & MLRO.
THE RESPONSIBILITIES:
Undertake activities of the Compliance Monitoring Programme – not limited to transaction monitoring, personal account dealing, gifts log,
Conducting communications monitoring (voice and electronic), ensuring compliance with the Firm’s policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management.
Support of Companies House filings
Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner.
Support the Senior Compliance Officer with the preparation of management information.
Preparation of SMF and Certified applications, & records kept regarding those individuals.
Ensure all regulatory communications are recorded accurately.
Taking ownership of tasks and processes within the Compliance department, ensuring that tasks are undertaken in a professional manner, to high standards and delivered within the agreed timeframes.
Tracking agreed remedial actions through to conclusion.
Understanding policies and procedures applicable to own role.
Advising the business with respect to adherence to the Firm’s Compliance policies and procedures
Developing and maintaining a broad knowledge of the Firm’s business and regulatory framework in which it operates.
Developing knowledge of compliance monitoring requirements, under the guidance and supervision of the Compliance Management, to monitor both internal broker and external clients’ activity.
Developing good working relationships with traders, operations, and Senior Management, fostering a good other duty as assigned by Compliance Management.
Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counterparties.
EXPERIENCE REQUIRED:
At least three years experience in General compliance, including compliance monitoring, regulatory reporting, KYC, and SMCR
Knowledge of the FCA Handbook
Experience within an international banking environment/broker, or similar.
Good IT skills
For further information please contact Hannah Tabatabai
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