FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

COmpliance Officer / Manager (DOE)

My client a leading independent broker providing trading services in Forex, Contracts for Difference (CFDs) and Spread Betting is seeking an analytical individual who has good attention to detail and a good understanding of FCA Regulations to join their team as a Compliance Officer. This role will cover Financial Crime, Regulatory Compliance and Compliance Monitoring.

JOB TEXT

My client a leading independent broker providing trading services in Forex, Contracts for Difference (CFDs) and Spread Betting is seeking an analytical individual who has good attention to detail and a good understanding of FCA Regulations to join their team as a Compliance Officer. This role will cover Financial Crime, Regulatory Compliance and Compliance Monitoring.

Main duties
* Provide support and assistance to enable effective monitoring of the Firm's systems and controls in line with the Compliance Monitoring Programme.
* Independently initiate, drive and implement project solutions;
* Create and maintain project plans and regularly follow up on open items;
* Produce high level summaries and updates for senior management;
* Keep abreast of regulatory rule changes and developments, assess their impact and as appropriate, circulate to management to consider next steps;
* Keeping up to date with EMIR and MiFID regulatory developments, technical standards and industry solutions;
* Assess current practices and develop enhancements where needed;
* Provide other assistance as required by Head of Compliance on an on-going basis;
* Assist with any ad-hoc compliance projects.

Qualifications required
* Strong academic background, educated to degree level or equivalent, preferably law, economics or business.


TO BE CONSIDERED FOR THIS POSITION, YOU MUST HAVE SIMILAR EXPERIENCE WITHIN ANOTHER CFD BROKER.

A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
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  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 2018-11-15