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 both Regulatory Compliance and Compliance Monitoring.
* 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.
Charles Levick Limited are a leading global financial recruiter providing innovative solutions across Capital Markets, Financial and Professional Services organisations. Founded in 2008, Charles Levick is privately owned and operates from offices based within the City of London and New York.
A truly independent company with a global reach, we pride ourselves on delivering honest and intelligent guidance developing long term sustainable relationships. Our breadth of expertise and services allow us to deliver solutions across our sectors ranging from junior analyst through to C-Suite requisitions, all delivered with exceptional levels of attention to detail and service that have helped us to grow into the organisation we are today.
We have managed to build an enviable reputation partnering a diverse range of large and small organisations initially within London, but now globally, actively supporting clients across Europe, Asia and the US. With decades of experience, we have been able to develop a substantial knowledge of our markets as well as building loyal relationships with our clients and candidates.
Our business is devised of 5 core areas of specialisation: