Our client is a leading UK foreign exchange broker.
Ensure regulatory obligations are met and internal operations coincide with our compliance framework for the business
Delivery of compliance training and technical support relating to investments, TCF, and the COBS requirements
Reviewing investment applications and assessing whether suitability requirements have been met
Where appropriate knowledge of the COBS and TCF regime to assess suitability of investment applications with experience of financial crime relevant to investments such as market abuse, insider dealing, mis-selling etc.
Completing COREP and AE report submissions to the FCA
Reviewing and recommending policy and process updates relating to the business.
Understanding of the SMR regime
Previous experience in transactional monitoring compliance with a financial services provider
Demonstrated understanding of regulatory risk specific to the financial services industry
Tertiary qualification either with ICA or CISI required
Exceptional communication skills
Ability to work under pressure and meet deadlines
For further information please contact Hannah Tabatabai