- London, England, United Kingdom
- Permanent, Full time
- Ad Idem Consulting
- 09 Dec 17 2017-12-09
An amazing opportunity has arisen, our client based in the City is looking for a dynamic, experienced Compliance Associate! The ideal candidate will come from a financial background...
Our client based in the City is recruiting for a compliance associate. You will be reporting into the Head of Compliance!
This is an amazing opportunity for candidates wishing to grow their career. Paying up to 40K.
- Completing regular Compliance Monitoring Reviews on a timely basis under the agreed Compliance Monitoring Plan and on an ad hoc basis as necessary – including but not limited to electronic and voice communications, monitoring of policy attestations;
- Working with the Head of Compliance in her capacity as MLRO to assist in day to day AML matters as well as assisting with the annual MLRO report;
- Assist the Head of Compliance in responding to exchange queries, audits and investigations;
- responsible for managing the annual roll-out of the Company’s employee training programme.
- Advising the broking desks on applicable Regulatory Rules and Requirements in order to ensure that they meet the requirements of regulatory and exchange bodies;
- Maintaining and implementing necessary Policies, Procedures and Processes in accordance with the company’s statutory and regulatory obligations and keeping them up to date;
- International liaison with compliance resources in subsidiaries;
- Responsible for certain regulatory and exchange reporting requirements Analyse transaction monitoring alerts in accordance with internal policy;
- Escalate transactions for further review by the MLRO;
- Assisting with the preparation of Management Information to Compliance Management;
- Developing knowledge of trade surveillance and monitoring requirements, under the guidance and supervision of Compliance Management and keeping accurate records of all trade surveillance, transaction monitoring and escalations as required by Compliance Management.
- Developing and maintaining a broad knowledge of the Firm's business and regulatory framework in which it operates;
- Build good working relationships with Broking staff, Operational staff and Senior Management;
- Evaluate issues/concerns and appropriately escalate to Compliance Management;
- Tracking agreed remedial actions through to conclusion;
- Ensure all records are kept in a structured organized manner;
- Taking ownership of any given task, ensuring they are undertaken professionally, to high standards and delivered within the agreed timeframes;
- Carry out ad-hoc regulatory audit reviews; and
- Other duties as assigned.
- Knowledge of UK regulatory environment in particular the FCA rulebook;
- knowledge of financial services products and markets ; and
- Knowledge of EMIR, MiFID II, MiFIR, and MAD regulatory requirements,