Support the Head of Compliance & MLRO as part of the team to cover all aspects of the Compliance Monitoring Program, and other regulatory issues that impact the firm.
Client Details
Full-service Broker-Dealer - London, UK
Description
*Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counterparties.
*Undertake activities of the Compliance Monitoring Programme - not limited to transaction monitoring, personal account dealing, gifts log, Etc.
*Conducting communications monitoring (voice and electronic), ensuring compliance with the Firm’s policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management.
*Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner.
*Support the Senior Compliance Officer with the preparation of management information.
Profile
*A strong understanding of regulatory frameworks within the financial services industry.
*Experience in compliance, risk management, or a related field.
*Circa 3 years’ experience in general compliance, including compliance monitoring, regulatory reporting, KYC, and SMCR.
Job Offer
*Competitive salary ranging from £45,000 to £50,000.
*Position based in London with opportunities to collaborate with a skilled team.
*12-month fixed-term contract within the financial services industry. Likely to be extended.
*Potential for professional growth and development.
*Supportive and professional work environment.