Compliance Associate

  • £40,000 - £50,000 per annum
  • London, England, United Kingdom
  • Permanent, Full time
  • City Credit Capital
  • 28 Nov 17 2017-11-28

City Credit Capital is a leading provider of Forex and CFD margin trading services. Based in the City of London, with group offices in Hong Kong and Latin America, we service a global client base of active investors. City Credit Capital is regulated and authorised by the UK Financial Conduct Authority (FCA).

Due to growth, we are seeking to recruit an additional compliance officer to assist the Head of Compliance in the implementation of the compliance agenda throughout the firm.

The varied nature of the role will lead to the successful candidate expanding on their experience across multiple facets of compliance and other areas of the business as new business lines are developed.

Job Description

  • Drafting and maintaining compliance standards, policies and procedures relating to AML, PA Dealing, Conflicts of Interest
  • Monitoring, reviews, remediation and general preparation for regulatory examinations relating (but not limited) to AML/Financial Crime, Trade and Transaction reporting
  • Jurisdiction analysis and reviews
  • Regulatory change management and review of updates from FCXA, JMLSC, HMRC
  • Financial Promotions reviews and approvals
  • Assist with staff and agent training
  • Assist with CMP reviews, Audit requests, Risk Assessments Reviews and Internal Audit
  • Assist with Company legal requirements
  • Complaints Handling
  • Assist with FCA returns via online systems – Connect, GABRIEL, ONA
  • Provide compliance guidance and advice to staff oversees
  • Produce MI on AML. ABC, CASS, TCF

Person Specification

  • Minimum 3 years' experience in a compliance role within the financial sector
  • Experience producing policies and procedure
  • Knowledge and understanding of current FCA handbook
  • Good understanding of JMLSG guidance
  • Strong analytical skills and meticulous attention to detail
  • Strong MS Office skills
  • Legal background is highly advantageous

You must be eligible to work in the UK to apply for this position.

Due to the high response rate expected, only those who are shortlisted for an interview will be contacted.